Legal Opinion
Securities & Exchange Commission v. Pimco Advisors Fund Management LLC
District Court, S.D. New York
Decided October 22, 2004No. 04 Civ. 3464(VM)PublishedCited by 41 opinions
1Opinion of the Court
DECISION AND ORDER
MARRERO, District Judge.
Defendants Stephen J. Treadway (“Treadway”) and Kenneth W. Corba (“Corba”) have each moved to dismiss the Complaint filed against them by the Securities and Exchange Commission (“SEC”) in this action. For the reasons discussed below, the Court denies Treadway’s motion in its entirety, and denies Corba’s motions to dismiss all claims except for those alleging primary violations of Section 10(b) of the Exchange Act and Section 34(b) of the Investment Company Act. Corba’s motion to dismiss these two claims are granted without prejudice.
I. BACKGROUND 1
A.…
2Cases cited27 opinions
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- Mills v. Polar Molecular Corp.Court of Appeals for the Second Circuit · 1993
- Goldman v. BeldenCourt of Appeals for the Second Circuit · 1985
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3Cited by41 opinions
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- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2008
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