Legal Opinion
Securities and Exchange Commission v. COLONIAL INVESTMENT MANAGEMENT LLC
District Court, S.D. New York
Decided July 7, 2009No. 07 Civ. 8849(PKC)PublishedCited by 11 opinions
1Opinion of the Court
FINDINGS OF FACT AND CONCLUSIONS OF LAW
P. KEVIN CASTEL, District Judge.
The Securities and Exchange Commission (“SEC”) brings this action against Colonial Investment Management LLC (“CIM”), Colonial Fund LLC (“Colonial”), and Cary G. Brody (“Brody”) asserting multiple violations of Rule 105 of Regulation M under the Securities Exchange Act of 1934 (“Exchange Act”). 17 C.F.R. § 242.105; see also 15 U.S.C. § 78u(d)(l). The SEC claims that, with respect to eighteen public secondary offerings between 2001 and 2004, defendants, a hedge fund and an affiliated person and entity, violated Rule 105 by…
2Cases cited8 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- National Labor Relations Board v. Express Publishing Co.Supreme Court of the United States · 1941
- Fed. Sec. L. Rep. P 96,351 Securities and Exchange Commission v. Commonwealth Chemical Securities, Inc.Court of Appeals for the Second Circuit · 1978
- Official Committee of Unsecured Creditors of WorldCom, Inc. v. Securities & Exchange CommissionCourt of Appeals for the Second Circuit · 2006
- Securities & Exchange Commission v. MoranDistrict Court, S.D. New York · 1996
3 more not listed; retrieve them via the Exa API.
3Cited by11 opinions
- AER Advisors Inc. v. Fidelity Brokerage Svcs., LLCCourt of Appeals for the First Circuit · 2019
- Securities & Exchange Commission v. Aragon Capital Management, LLCDistrict Court, S.D. New York · 2009
- Securities & Exchange Commission v. RazmilovicDistrict Court, E.D. New York · 2011
- City of New York v. GordonDistrict Court, S.D. New York · 2013
- Securities & Exchange Commission v. Life Partners Holdings, Inc.District Court, W.D. Texas · 2014
6 more not listed; retrieve them via the Exa API.