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S.E.C. v. CARROLL

Civil Action No. 3:11-CV-165-H.

9 F.Supp.3d 761 (2014)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Patrick M. CARROLL, et al., Defendants.

United States District Court, W.D. Kentucky, at Louisville.

Filed March 24, 2014.

Attorney(s) appearing for the Case

Daniel J. Hayes , James A. Davidson , Jason Andrew Schmidt , U.S. Securities & Exchange Commission, Chicago, IL, William F. Campbell , U.S. Attorney Office, Louisville, KY, for Plaintiff.

John J. Muldoon, III , Muldoon & Muldoon, LLC, Chicago, IL, Kent Wicker , Lesley A.S. Bilby , Dressman Benzinger LaVelle PSC, Louisville, KY, John M. Clifford , Clifford & Garde, LLP, Laurence Storch , Pollack & Storch, Stanley Sporkin, Washington, DC, for Defendants.

MEMORANDUM OPINION AND ORDER

JOHN G. HEYBURN, II, District Judge.

The Securities and Exchange Commission (SEC) brought this civil action alleging violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) by Defendants Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher T. Calcutt, David A. Stitt, John Monroe, and Stephen Somers. Defendants traded in the securities of Steel Technologies, Inc. ...

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