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S.E.C. v. PINCHAS

No. 04 Civ. 10139(RJH).

421 F.Supp.2d 781 (2006)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Rafael PINCHAS, Defendant.

United States District Court, S.D. New York.

March 27, 2006.

Attorney(s) appearing for the Case

Thomas J. Karr, Kathleen Anne Cody, U.S. Securities and Exchange Commission, Washington, DC, for Plaintiff.

MEMORANDUM OPINION AND ORDER

HOLWELL, District Judge.

Plaintiff Securities and Exchange Commission ("SEC" and "Commission") applies to this Court under Section 21(e) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. 78u(e)(1) (2000), for an order commanding defendant Rafael Pinchas's compliance with a final SEC order entered against him on December 21, 1999. The order sustained a fine imposed by the National Association of Securities...

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