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S.E.C. v. TERRY'S TIPS, INC.

No. 2:05-CV-188.

409 F.Supp.2d 526 (2006)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. TERRY'S TIPS, INC., a Vermont corporation, and Terry F. Allen, an individual, Defendants.

United States District Court, D. Vermont.

January 9, 2006.

Attorney(s) appearing for the Case

Karen L. Martinez, Thomas M. Melton, Securities and Exchange Commission, Salt Lake City, UT, Nancy J. Creswell, Office of the United States Attorney, District of Vermont, Burlington, VT, for Plaintiff.

Steven J. Kantor, Doremus, Kantor & Daly, Burlington, VT, William J. Nissen, Sidley Austin Brown & Wood, LLP, Chicago, IL, for Defendants.

MEMORANDUM OPINION and ORDER

SESSIONS, Chief Judge.

The Securities and Exchange Commission ("SEC") has sued Terry's Tips, Inc. ("Terry's Tips") and Terry F. Allen, the founder and owner of Terry's Tips, for violation of Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C.A. § 78j(b) (West 1997), and Rule 10b-5, 17 C.F.R. § 240.10b-5; and violations of Sections 206(1) and (2) of the Investment Advisers Act of 1940, 15 U.S.C.A....

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