Legal Opinion
Securities & Exchange Commission v. Jones
District Court, S.D. New York
Decided February 26, 2007No. 05 Civ. 7044RCCPublishedCited by 24 opinions
1Opinion of the Court
OPINION MEMORANDUM & ORDER
CASEY, District Judge.
Plaintiff Securities and Exchange Commission (the “Commission”) commenced this action against defendants Thomas W. Jones and Lewis E. Daidone (together “Defendants”) alleging aiding and abetting violations of the Investment Advisers Act of 1940 § 206 (“Advisers Act”), 15 U.S.C. §§ 80b-6(l) and 80b-6(2). Defendants now move for summary judgment pursuant to Rule 56(e) of the Federal Rules of Civil Procedure. For the following reasons, Defendants’ motions are GRANTED.
I. BACKGROUND
Unless otherwise stated, the following facts are not in dispute.
This…
2Cases cited21 opinions
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- Carol A. Gallo v. Prudential Residential Services, Limited Partnership, Doing Business as Prudential Relocation ManagementCourt of Appeals for the Second Circuit · 1994
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3Cited by24 opinions
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