Legal Opinion
Rosen v. Brookhaven Capital Management, Co., Ltd.
District Court, S.D. New York
Decided March 7, 2002No. 99 Civ. 9397(CSH)PublishedCited by 9 opinions
1Opinion of the Court
MEMORANDUM OPINION AND ORDER
HAIGHT, Senior District Judge.
In an Opinion dated January 9, 2002, familiarity with which is assumed, the Court denied defendants’ in limine motion to preclude certain of plaintiffs claims. This Opinion resolves the remaining in limine motions.
I. DEFENDANTS’ OTHER MOTIONS
A. Evidence on the Applicability of the Investment Adviser Exemption
Plaintiffs claim under Section 16 of the Securities and Exchange Act of 1934 is that defendants as a group (the “Brookha-ven Group”) were the beneficial owners of more than 10 percent of the common stock of Egghead.com (“Egghead”)…
2Cases cited18 opinions
- Conley v. GibsonSupreme Court of the United States · 1957
- Gomez v. ToledoSupreme Court of the United States · 1980
- Harris v. City of New YorkCourt of Appeals for the Second Circuit · 1999
- Securities & Exchange Commission v. Ralston Purina Co.Supreme Court of the United States · 1953
- McKelvey v. United StatesSupreme Court of the United States · 1922
13 more not listed; retrieve them via the Exa API.
3Cited by9 opinions
- Securities & Exchange Commission v. Opulentica, LLCDistrict Court, S.D. New York · 2007
- Chillemi v. Town of SouthamptonDistrict Court, E.D. New York · 2013
- Hosking v. TPG Capital Management, L.P. (In re Hellas Telecommunications (Luxembourg) II SCAUnited States Bankruptcy Court, S.D. New York · 2015
- Packer ex rel. 1-800-flowers.com, Inc. v. Raging Capital Management, LLCDistrict Court, E.D. New York · 2017
- Securities & Exchange Commission v. Caledonian Bank Ltd.District Court, S.D. New York · 2015
4 more not listed; retrieve them via the Exa API.