Lynn A. SMITH, Relief-Defendant-Appellant,
Geoffrey R. SMITH, Lauren T. Smith, Defendant-Appellants,
v.
SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee,
McGinn, Smith & Company, Incorporated, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corporation, First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith, Nancy McGinn, David M. Wojeski, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, Defendants.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Argued: June 20, 2011.
Decided: August 8, 2011.
Attorney(s) appearing for the Case
Christopher Paik , Special Counsel, United States Securities and Exchange Commission ( Mark D. Cahn , General Counsel, Ann K. Small , Deputy General Counsel, Jacob H. Stillman , Solicitor, on the brief), Washington, DC, Kevin Patrick McGrath , Senior Trial Counsel, United States Securities and Exchange Commission, New York, NY, for Plaintiff-Appellee.
Stephen B. Hanse , Featherstonhaugh, Wiley & Clyne, LLP, Albany, NY, for Defendant-Appellants.
Before: POOLER and RAGGI, Circuit Judges, KOELTL, District Judge.
United States Court of Appeals, Second Circuit.
POOLER, Circuit Judge:
Consolidated appeal from, inter alia, an order of the United States District Court for the Northern District of New York (Homer, M.J.)1 lifting an asset freeze for the purpose of authorizing the interlocutory sale of a vacation home owned by relief-defendant Lynn A. Smith. The magistrate judge held in relevant part that the sale was necessary to preserve the value...
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