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S.E.C. v. DRUFFNER

No. CIV.A.03-12154-NMG.

353 F.Supp.2d 141 (2005)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Martin J. DRUFFNER, et al., Defendants.

United States District Court, D. Massachusetts.

January 5, 2005.

Attorney(s) appearing for the Case

Franklin C. Huntington, IV, Securities and Exchange Commission, Boston, MA, for Plaintiff.

R. Bradford Bailey, Denner O'Malley LLP, Laurie C. Carafone, Dwyer & Collora, LLP, J.W. Codinha, Nixon Peabody, LLP, Michael A. Collora, Dwyer & Collora, LLP, Steven N. Fuller, Nixon Peabody, LLP, Kay B. Lee, Test, Hurwitz, & Thibeault, LLP, David M. Osborne, Dwyer & Collora, LLP, Daniel M. Rabinovitz, Dwyer & Collora, LLP, David M. Ryan, Nixon Peabody, LLP, John A. Sten, Greenberg Traurig, LLP, Robert L. Ullmann, Nutter, McClennen & Fish, LLP, Sarah E. Walters, Nutter, McClennen & Fish, LLP, Boston, MA, for Defendants.

Jack W. Pirozzolo, United States Attorney's Office, Boston, for United States of America, Intervenor.

MEMORANDUM & ORDER

GORTON, District Judge.

This civil case involves allegations by the Securities and Exchange Commission ("SEC") that defendants, former stock brokers and their branch manager, violated the Securities Act of 1933 ("the Securities Act") and the Securities Exchange Act of 1934 ("the Exchange Act") in connection with market timing activities. The SEC brings this action pursuant to Section 20(b) of the Securities Act, 15 U.S.C. § 77t...

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