S.E.C. v. McGINN, SMITH & CO., INC.

Attorney(s) appearing for the Case

U.S. Securities and Exchange Commission, David P. Stoelting, Esq. , Haimavathi V. Marlier, Esq. , Jack Kaufman, Esq. , Joshua M. Newville, Esq. , Kevin P. McGrath, Esq. , Lara S. Mehraban, Esq. , of Counsel, New York, NY, for the Plaintiff.

McGinn, Smith & Co., Inc.; McGinn, Smith Advisors, LLC; McGinn, Smith Capital Holdings Corp.; First Advisory Income Notes, LLC; First Excelsior Income Notes, LLC; First Independent Income Notes, LLC; and Third Albany Income Notes, LLC, Phillips Lytle LLP, William J. Brown, Esq. , of Counsel, Buffalo, NY, Timothy M. McGinn , Office of E. Stewart Jones, Jr., E. Stewart Jones, Jr., Esq. , of Counsel, Troy, NY, David L. Smith , Dreyer, Boyajian Law Firm, William J. Dreyer, Esq. , Benjamin W. Hill, Esq. , of Counsel, Albany, NY, Lynn A. Smith , Featherstonhaugh, Wiley Law Firm, James D. Featherstonhaugh, Esq. , of Counsel, Albany, NY, Geoffrey R. Smith , Individually and as Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04, and Lauren T. Smith , Linnan, Fallon Law Firm, James D. Linnan, Esq. , of Counsel, Albany, NY, for the Defendants/Relief Defendants and Intervenors.

Nancy McGinn, Troy, NY, Pro Se.