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COMMODITY FUTURES v. WALSH

No. 91

17 N.Y.3d 162 (2011)

951 N.E.2d 369

927 N.Y.S.2d 821

2011 NY Slip Op 5366

COMMODITY FUTURES TRADING COMMISSION, Respondent, v. STEPHEN WALSH et al., Defendants, and JANET WALSH, Appellant. SECURITIES AND EXCHANGE COMMISSION, Respondent, v. WG TRADING INVESTORS, L.P., et al., Defendants, and JANET WALSH, Appellant, et al., Relief Defendant.

Court of Appeals of New York.

Decided June 23, 2011.

Attorney(s) appearing for the Case

Law Offices of Steven L. Kessler, New York City ( Steven L. Kessler and Eric M. Wagner of counsel), for appellant.

Nancy R. Doyle , Assistant General Counsel, Commodity Futures Trading Commission, of the District of Columbia bar, admitted pro hac vice, Dan M. Berkovitz , Washington, D.C., and Gloria P. Clement , for Commodity Futures Trading Commission, respondent.

Allan A. Capute , of the District of Columbia bar, admitted pro hac vice, Mark Cahn , Washington, D.C., Anne K. Small and Jacob H. Stillman , for Securities and Exchange Commission, respondent.

Elliott Scheinberg , Staten Island, Nancy Kellman , White Plains, Allan Mayefsky , New York City, Michael Stutman and Aaron Weitz , amici curiae.

Chief Judge LIPPMAN and Judges CIPARICK, READ and JONES concur with Judge GRAFFEO; Judge PIGOTT dissents in part in a separate opinion in which Judge SMITH concurs.

OPINION OF THE COURT

GRAFFEO, J.

Stephen Walsh is a defendant in related actions brought by plaintiffs Commodity Futures Trading Commission and Securities and Exchange Commission (the Agencies) alleging violations of the anti-fraud provisions of the Commodity Exchange Act and the Securities Exchange Act. The Agencies claim that between 1996 and 2009, Walsh and his codefendant, Paul Greenwood, misappropriated...

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