Legal Opinion
Securities & Exchange Commission v. Kenton Capital, Ltd.
District Court, District of Columbia
Decided September 30, 1998No. Civil Action 95-0829(CKK)PublishedCited by 81 opinions
1Opinion of the Court
MEMORANDUM OPINION
KOLLAR-KOTELLY, District Judge.
This case involves alleged violations of the anti-fraud, securities registration, broker registration, and investment adviser registration provisions of the federal securities laws. The Securities and Exchange Commission (“SEC”) filed an Amended Complaint stating five claims against Defendants Donald Wallace and Kenton Capital, ‘LTD (“Kenton”). 1 The First Claim charges Defendants Wallace and Kenton with violating section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. § 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. §…
2Cases cited46 opinions
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- Charles Kowal v. MCI Communications CorporationCourt of Appeals for the D.C. Circuit · 1994
- Ross J. Laningham v. United States NavyCourt of Appeals for the D.C. Circuit · 1987
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3Cited by81 opinions
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