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  5. 752 F.Supp.2d 194 (2010)
 

S.E.C. v. McGINN, SMITH & CO., INC.

No. 10-CV-457 (GLS/DRH).

752 F.Supp.2d 194 (2010)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. McGINN, SMITH & CO., INC.; McGinn, Smith Advisors, LLC; McGinn, Smith Capital Holdings Corp.; First Advisory Income Notes, LLC; First Excelsior Income Notes, LLC; First Independent Income Notes, LLC; Third Albany Income Notes, LLC; Timothy M. McGinn; and David L. Smith, Defendants. Lynn A. Smith, Relief Defendant. David M. Wojeski, Trustee of David L. and Lynn A. Smith Irrevocable Trust U/A 9/04/04., Intervenor.

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

July 7, 2010.

Attorney(s) appearing for the Case

David Stoelting, Esq. , Andrew Calamari, Esq. , Michael Paley, Esq. , Kevin McGrath, Esq. , Lara Mehreban, Esq. , Linda Arnold, Esq. , of Counsel, New York, NY, for Plaintiff, Securities and Exchange Commission.

William J. Brown, Esq. , Buffalo, NY, Receiver for Corporate Defendants, Phillips Lytle LLP.

Greenberg Traurig , Michael L. Koenig, Esq. , of Counsel, Albany, NY, for Defendants Timothy M. McGinn and David L. Smith .

Featherstonhaugh, Wiley & Clyne, LLP, James D. Featherstonhaugh, Esq. , of Counsel, Albany, NY, for Relief Defendant.

Jill A. Dunn, Esq. , Albany, NY, for Intervenor.

MEMORANDUM-DECISION AND ORDER

DAVID R. HOMER, United States Magistrate Judge.

Presently pending are the motions1 of (1) plaintiff Securities and Exchange Commission ("SEC") for a preliminary injunction freezing the assets of the defendants and of relief defendant2 Lynn A. Smith ("Lynn Smith") and granting related relief pending a final disposition of...

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