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U.S. S.E.C. v. UNIVERSAL EXP., INC.

No. 04 Civ. 2322 GEL.

475 F.Supp.2d 412 (2007)

U.S. SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. UNIVERSAL EXPRESS, INC., Richard A. Altomare, Chris G. Gunderson, Mark S. Neuhaus, George J. Sandhu, Spiga, Ltd., and Tarun Mendiratta, Defendants.

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

February 21, 2007.

Attorney(s) appearing for the Case

Julie K. Lutz and Leslie J. Hughes, Securities and Exchange Commission Central Regional Office, Denver, Colorado, and Robert B. Blackburn, Securities and Exchange Commission Northeast Regional Office, New York, New York, for plaintiff.

Barry Schaevitz, Jacob Medinger & Finnegan, LLP, New York, New York, and Arthur W. Tifford, Tifford and Tifford, Miami, Florida, for defendants Universal Express, Inc., Richard A. Altomare, and Chris G. Gunderson.

John B. Harris and Lara Shalov Mehraban, Stillman, Friedman & Schectman, P.C., New York, New York, for defendant Mark S. Neuhaus.

Jason Pickholz, Marvin Pickholz, and Jeremy A. Shure, Akerman Senterfitt LLP, New York, New York, for defendant George S. Sandhu.

John A. Hutchings, Dill, Dill, Carr, Stonbraker & Hutchings, P.C., Denver, Colorado, and Harry H. Wise, New York, New York, for defendant Tarun Mendiratta.

OPINION AND ORDER

LYNCH, District Judge.

The Securities and Exchange Commission ("SEC") has accused Universal Express, Inc., Richard A. Altomare, and Chris G. Gunderson (collectively, "Organizational Defendants") and Mark S. Neuhaus, George J. Sandhu, and Tarun Mendiratta (collectively, "Consultant Defendants") of violating certain provisions of the federal securities laws. It now seeks summary judgment against all the defendants on claims that they offered...

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