Legal Opinion
Securities and Exchange Commission v. Thompson
District Court, S.D. New York
Decided September 27, 2019No. 1:14-cv-09126Unknown
1Opinion
DOCH DATE UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK “SECURITIES ANDEXCHANGE COMMISSION, : Plaintiff, 14-cv-09126 (ALC) -against- OPINION & ORDER ANTHONY J. THOMPSON, ET AL., Defendants. senna nnnnnnnnX . ANDREW L. CARTER, JR., United States District Judge: SYLLABUS The SEC brings a civil enforcement action against Anthony Thompson, stemming from a September 2014 criminal indictment in New York Supreme Court, involving similar conduct. Since Thompson pleaded guilty to several counts of the indictment, he is prohibited from challenging, in this civil action, anything covered by…
2Cases cited20 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Carol A. Gallo v. Prudential Residential Services, Limited Partnership, Doing Business as Prudential Relocation ManagementCourt of Appeals for the Second Circuit · 1994
- Brown v. Eli Lilly and Co.Court of Appeals for the Second Circuit · 2011
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Schiro v. FarleySupreme Court of the United States · 1994
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