Legal Opinion
Securities Exchange Commission v. Monarch Funding Corporation, Leo M. Eisenberg, Steven R. Cloyes, and Richard M. Cannistraro, Richard O. Bertoli
Court of Appeals for the Second Circuit
Decided September 20, 1999No. 1998PublishedCited by 191 opinions
1Opinion of the Court
McLAUGHLIN, Circuit Judge:
The question before us on this appeal, one of first impression, is whether findings made in a criminal sentencing proceeding may preclude relitigation of an issue in a subsequent civil case.
The SEC sued Richard Bertoli in the United States District Court for the Southern District of New York (Sand, J.) seeking injunctive relief based on his alleged violations of the federal securities laws. Those same alleged violations formed the predicate acts for a parallel criminal prosecution of Bertoli under the Racketeer Influenced and Corrupt Organizations Act (“RICO”), 18…
2Cases cited30 opinions
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