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S.E.C. v. SMITH

Docket Nos. 11-3843-cv(L), 11-3845-cv(con), 11-3848-cv (con), 11-3851-cv(con), 11-4238-cv(con).

710 F.3d 87 (2013)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Lynn A. SMITH, Lauren T. Smith, Geoffrey R. Smith, Trustee of The David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, Defendants-Appellants, Jill A. Dunn, David M. Wojeski, Non-Party Appellants, 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, Defendants.

United States Court of Appeals, Second Circuit.

Decided: March 18, 2013.

Attorney(s) appearing for the Case

James D. Featherstonhaugh , Featherstonhaugh, Wiley & Clyne, LLP, Albany, NY, for Defendant-Appellant Lynn A. Smith.

Stephen B. Hanse , Featherstonhaugh, Wiley & Clyne, LLP, Albany, NY, for Defendants-Appellants Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, Lauren T. Smith and Geoffrey R. Smith.

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

Fred N. Knopf , Wilson, Elser, Moskowitz, Edelman & Dicker, LLP, White Plains, NY, for Non-Party Appellant David M. Wojeski.

Kevin P. McGrath , Senior Trial Counsel, Securities and Exchange Commission, New York, NY, ( Mark D. Cahn , General Counsel, Michael A. Conley , Deputy General Counsel, Jacob H. Stillman , Solicitor, Christopher Paik , Securities and Exchange Commission, Washington, D.C. on the brief), for Plaintiff-Appellee.

Before: WINTER, LIVINGSTON, Circuit Judges, and RAKOFF, District Judge.

WINTER, Circuit Judge:

This appeal arises out of a proceeding brought to remedy securities fraud and recover assets — to be distributed to victims — that were the fruits of the fraud. The issues before us relate to enforcement of, and compliance with, an order freezing various assets.

Appellants, the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 (the "Trust") and various individuals, appeal from Magistrate Judge Homer's

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