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S.E.C. v. WYLY

No. 10 Civ. 5760(SAS).

950 F.Supp.2d 547 (2013)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Samuel WYLY, Charles J. Wyly, Jr., Michael C. French, and Louis J. Schaufele III, Defendants.

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

June 6, 2013.

Attorney(s) appearing for the Case

Gregory Nelson Miller, Esq. , Alan M. Lieberman, Esq. , John David Worland, Jr., Esq. , Martin Louis Zerwitz, Esq. , United States Securities and Exchange Commission, Washington, DC, for the SEC.

William Andrew Brewer, III, Esq. , Michael J. Collins, Esq. , James S. Renard, Esq. , Michael L. Smith, Esq. , Bickel & Brewer, New York, NY, for Samuel E. Wyly.

Stephen D. Susman, Esq. , Mark H. Hatch-Miller, Esq. , Susman Godfrey, LLP, New York, NY, Terrell W. Oxford, Esq. , David D. Shank, Esq. , Susman Godfrey, LLP, Dallas, TX, for Donald R. Miller, Jr.

Martin Joel Auerbach, Esq. , Law Offices of Martin J. Auerbach, New York, NY, Laura Elizabeth Neish, Esq. , Zuckerman Spaeder, LLP, New York, NY, for Louis J. Schaufele, III.

Joshua Klein, Esq. , Nelson A. Boxer, Esq. , Petrillo Klein & Boxer LLP, New York, NY, for Michael C. French.

OPINION AND ORDER

SHIRA A. SCHEINDLIN, District Judge.

I. INTRODUCTION

The Securities and Exchange Commission ("SEC") brings suit against Samuel Wyly; Donald R. Miller, Jr. as the Independent Executor of the Will and Estate of Charles J. Wyly Jr. (Charles Wyly and, together with Samuel Wyly, the "Wylys"); the Wylys' attorney Michael C. French;1 and their stockbroker...

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