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S.E.C. v. TREADWAY

No. 04 Civ. 3464(VM).

430 F.Supp.2d 293 (2006)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Stephen J. TREADWAY and Kenneth W. Corba, Defendants.

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

May 9, 2006.

Attorney(s) appearing for the Case

Dorothy Heyll, Jose F. Sanchez, Richard G. Primoff, U.S.S.E.C., New York, NY, Sam S. Puathasnanon, U.S.S.E.C., Los Angeles, CA, Nicolas Morgan, Rachel Lois Izower, U.S.S.E.C., New York, NY, for S.E.C.

Maxine Gail Sleeper, Alan Levine, Kronish Lieb Weiner & Hellman, L.L.P., New York, NY, for Stephen J. Treadway.

Abigail Kaufman Hemani, Adam B. Ziegler, Goodwin Procter LLP, Boston, MA, David B. Pitofsky, Richard Mark Strassberg, Goodwin Procter, LLP, New York, NY, for Kenneth W. Corba.

DECISION AND ORDER

MARRERO, District Judge.

TABLE OF CONTENTS

  I. BACKGROUND ...............................................................  298

 II. FACTS ....................................................................  300

 A. THE PARTIES ...........................................................  300

     B. THE ARRANGEMENT .......................................................  303

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