S.E.C. v. FROHLING

Docket No. 13-3191-cv August Term, 2016.

851 F.3d 132 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. John B. FROHLING, Defendant-Cross-Claimant-Cross-Defendant-Appellant, Hisao Sal Miwa, Defendant-Cross-Claimant-Cross-Defendant, Virginia K. Sourlis, Defendant-Cross-Claimant, Daniel D. Starczewski, Joe V. Overcash, Jr., Frank J. Morelli, III, Thomas F. Pierson, Defendants-Cross-Defendants, Active Stealth, LLC, BAF Consulting, Inc., Bluewater Executive Capital, LLC, Emerging Markets Consulting, LLC, KCS Referal Services, LLC, MBA Investors, Ltd., New Age Sports, Inc., Power Network, Inc., Project Development, Inc., Seville Consulting, Inc., Starr Consulting, Inc., Tuscany Consulting, Inc., YT2K, Inc., Relief-Defendants-Cross-Defendants. Greenstone Holdings, Inc., James S. Painter, III, Defendants.

United States Court of Appeals, Second Circuit.

Decided: December 6, 2016.


Attorney(s) appearing for the Case

ALLAN A. CAPUTE, Special Counsel to the Solicitor, Washington, D.C. (Anne K. Small, General Counsel, Michael A. Conley, Deputy General Counsel, Jacob H. Stillman, Solicitor, Securities and Exchange Commission, Washington, D.C., on the brief), for Plaintiff-Appellee.

JOHN B. FROHLING, pro se, Jersey City, New Jersey, Defendant-Cross-Claimant-Cross-Defendant-Appellant.

Before: KEARSE, POOLER, and DRONEY, Circuit Judges.


In this appeal, which was reinstated following a remand for final resolution of pending claims, see SEC v. Frohling, 614 Fed.Appx. 14 (2d Cir. 2015), defendant-cross-claimant-cross-defendant-appellant John B. Frohling pro se appeals from a November 25, 2015 Superseding Final Judgment of the United States District...

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