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U.S. v. WARE

Docket Nos. 07-5222-cr(L), 07-5670-cr.

577 F.3d 442 (2009)

UNITED STATES of America, Appellee-Cross-Appellant, v. Ulysses Thomas WARE, also known as Thomas Ware, Defendant-Appellant-Cross-Appellee.

United States Court of Appeals, Second Circuit.

Decided: August 18, 2009.

Attorney(s) appearing for the Case

Michael J. Garcia, United States Attorney for the Southern District of New York, New York, N.Y. (Nicholas S. Goldin, Andrew L. Fish, Assistant United States Attorneys, New York, NY, of counsel), for Appellee.

Ulysses Thomas Ware, Brooklyn, NY, Defendant-Appellant pro se.

Before: KEARSE, SACK, and HALL, Circuit Judges.

KEARSE, Circuit Judge:

Defendant pro se Ulysses Thomas Ware appeals from a judgment entered in the United States District Court for the Southern District of New York following a jury trial before William H. Pauley III, Judge, convicting him of securities fraud, in violation of § 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), Rule 10b-5 promulgated thereunder by the Securities Exchange Commission ("SEC"), and 18

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