Legal Opinion
SEC v. McGINN, SMITH & CO., INC.
District Court, N.D. New York
Decided July 7, 2010No. 7:10-mj-00457PublishedCited by 3 opinions
1Opinion of the Court
752 F.Supp.2d 194 (2010)
SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
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; Third Albany Income Notes, LLC; Timothy M. McGinn; and David L. Smith, Defendants.
Lynn A. Smith, Relief Defendant.
David M. Wojeski, Trustee of David L. and Lynn A. Smith Irrevocable Trust U/A 9/04/04., Intervenor.
No. 10-CV-457 (GLS/DRH).
United States District Court, N.D. New York.
July 7, 2010.
David Stoelting, Esq., Andrew…
2Cases cited35 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Baxter v. PalmigianoSupreme Court of the United States · 1976
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Reves v. Ernst & YoungSupreme Court of the United States · 1990
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3Cited by3 opinions
- Securities and Exchange Commission v. WOJESKIDistrict Court, N.D. New York · 2010
- Securities & Exchange Commission v. McGinn, Smith & Co.District Court, N.D. New York · 2015
- S.E.C. v. StewartDistrict Court, S.D. New York · 2023