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SECURITIES AND EXCHANGE COMMISSION v. ELLIOTT

No. 09 Civ. 7594 (KBF).

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. DOYLE SCOTT ELLIOTT, SCOTT ELLIOTT, INC., MICHAEL J. XIRINACHS, EMERALD ASSET ADVISORS LLC, ROBERT L. WEIDENBAUM, and CLX & ASSOCIATES INC., Defendant.

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

June 12, 2012.

Attorney(s) appearing for the Case

Securities and Exchange Commission, Plaintiff, represented by Leslie Hendrickson Hughes , U.S. Securities and Exchange Commission(Co), Gregory Alan Kasper , Schulte Roth & Zabel LLP (NY) & Julie Kay Lutz , U.S. Securities and Exchange Commission(Co), Pro Hac Vice.

Michael J. Xirinachs, Defendant, represented by Donald Albert Corbett , Dickstein Shapiro LLP (NYC), Ira Lee Sorkin , Lowenstein Sandler PC (NYC) & Daniel Keith Roque , Dickstein Shapiro LLP (NYC).

Emerald Asset Advisors L.L.C., Defendant, represented by Donald Albert Corbett , Dickstein Shapiro LLP (NYC), Ira Lee Sorkin , Lowenstein Sandler PC (NYC) & Daniel Keith Roque , Dickstein Shapiro LLP (NYC).

OPINION AND ORDER

KATHERINE B. FORREST, District Judge.

The purpose of the securities laws is to protect the investing public. The principal purpose of the Securities Act of 1933 is to ensure that the public has access to adequate disclosures regarding companies whose shares are offered for purchase and/or sale on a public stock exchange. Section 5 of the Securities Exchange Act of 1933, 15 U.S.C. § 77e, furthers this purpose by requiring companies...

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