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U.S. S.E.C. v. MUDD

No. 11 Civ. 09202 (PAC).

885 F.Supp.2d 654 (2012)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Daniel H. MUDD, et at., Defendants.

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

August 10, 2012.

Attorney(s) appearing for the Case

Alexander Mircea Vasilescu , Preethi Krishnamurthy , U.S. Securities and Exchange Commission, New York, NY, Paul W. Kisslinger , Natasha S. Guinan , Sarah Lynn Levine , Stephan Jacob Schlegelmilch , Stephen L. Cohen , U.S. Securities and Exchange Commission, Washington, DC, for Plaintiff.

Adam James Van Alstyne , James E. Anklam , James D. Wareham , DLA Piper U.S. LLP, Washington, DC, John Michael Hillebrecht , DLA Piper U.S. LLP, Hector Gonzalez , David Paul Staubitzm , Dechert, LLP, New York, NY, David J. Stanoch , Dechert LLP Philadelphia, PA, Kelly Bain Kramer , Mayer Brown LLP, Michael Nathaniel Levy , Bingham McCutchen LLP, Amy Kathleen Carpenter-Holmes , Bingham McCutchen LLP, Washington, DC, for Defendants.

OPINION & ORDER

PAUL A CROTTY, District Judge:

On December 16, 2011, the SEC instituted this action against Daniel Mudd, Enrico Dallavecchia, and Thomas Lund (collectively, the "Defendants"), for misleading investors concerning Federal National Mortgage Association's ("FNMA") level of exposure to risky subprime and reduced documentation "Alt-A" loans. The SEC charged: (1) Mudd with violating Section 10(b) of the Exchange Act and Rule 10b-5 (Count...

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