Legal Opinion
Securities & Exchange Commission v. McGinn, Smith & Co.
District Court, N.D. New York
Decided March 30, 2015No. 1:10-cv-457 (GLS/CFH)PublishedCited by 1 opinion
1Opinion of the Court
MEMORANDUM-DECISION AND ORDER
GARY L. SHARPE, Chief Judge.
I. Introduction
Plaintiff the United States Securities and Exchange Commission (SEC) commenced this civil enforcement action against defendants David Smith and Timothy McGinn, along with various entities owned and controlled by McGinn and Smith: McGinn, Smith & Co., Inc. (“MS & Co.”), McGinn, Smith Advisors, LLC (“MS Advisors”), McGinn, Smith Capital Holdings Corp. (“MS Capital”), First Advisory Income Notes, LLC (FAIN), First Excelsior Income Notes, LLC (FEIN), First Independent Income Notes, LLC (FIIN), Third Albany Income Notes, LLC…
2Cases cited20 opinions
- University of Texas v. CamenischSupreme Court of the United States · 1981
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Bellsouth Telecommunications, Inc. v. W.R. Grace & Co.--Conn.Court of Appeals for the Second Circuit · 1996
- Blau v. LehmanSupreme Court of the United States · 1962
- Securities & Exchange Commission v. RazmilovicCourt of Appeals for the Second Circuit · 2013
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3Cited by1 opinion
- S.E.C. v. StewartDistrict Court, S.D. New York · 2023