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S.E.C. v. SMITH

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

798 F.Supp.2d 412 (2011)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Lynn A. SMITH, Defendant. Jill A. Dunn, Esq.; David M. Wojeski; Thomas J. Urbelis, Esq.; and James D. Featherstonhaugh, Esq., Non-Parties.

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

July 20, 2011.

Attorney(s) appearing for the Case

David Stoelting, Esq. , of Counsel: Kevin McGrath, Esq. , Lara Shalov Mehreban, Esq. , Haimavathi V. Marlier, Esq. , Joshua Newville, Esq. , New York, NY, for Plaintiff.

Featherstonhaugh, Wiley & Clyne, LLP, of Counsel: James D. Featherstonhaugh, Esq. , Stephen B. Hanse, Esq. , Scott J. Ely, Esq. , Albany, NY, for Defendant Lynn A. Smith and Non-Party James D. Featherstonhaugh.

Steinberg & Cavaliere, LLP, of Counsel: Benjamin Zelermyer, Esq. , White Plains, NY, for Non-Party Jill A. Dunn.

Wilson, Elser, Moskowitz, Edelman & Dicker LLP, of Counsel: Fred N. Knopf, Esq. , White Plains, NY, for Non-Party David M. Wojeski.1

Carter, Conboy, Case, Blackmore, Maloney & Laird, P.C., of Counsel: Michael J. Murphy, Esq. , Albany, NY, for Non-Party Thomas J. Urbelis.

Conn, Kavanaugh, Rosenthal, Peisch & Ford, LLP, of Counsel: Thomas E. Peisch, Esq. , Erin K. Higgins, Esq. , Boston, MA, Attorney for Non-Party Thomas J. Urbelis.

MEMORANDUM-DECISION AND ORDER

DAVID R. HOMER, United States Magistrate Judge.

Presently pending is the motion of plaintiff Securities and Exchange Commission ("SEC") for an order awarding sanctions against defendant Lynn A. Smith and non-parties Jill A. Dunn, Esq. ("Dunn"), David M. Wojeski ("Wojeski"), and Thomas J. Urbelis, Esq. ("Urbelis") as well as leave to pursue discovery on the issue of sanctions as...

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