Securities and Exchange Commission v. Cohmad Securities Corporation et al

Plaintiff: Securities and Exchange Commission
Defendant: Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn and Robert M. Jaffe
 
Case Number: 1:2009cv05680
Filed: June 22, 2009
 
Court: New York Southern District Court
Office: Foley Square Office
County: NewYork
Presiding Judge: Unassigned
 
Nature of Suit: None
Cause of Action: 15:78m(a) Securities Exchange Act
Jury Demanded By: None

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Date Filed#Document Text
February 2, 2010 28 Featured Case OPINION AND ORDER: #98511 Jaffes motion (Docket No. 12) is granted, and Cohmad and the Cohns motion (Docket No. 17) is granted in part and denied in part. In particular, the claims for securities fraud (Claims One through Four) are dismissed as agai nst all defendants. The claims for aiding and abetting violations of Section 206(4) of the Advisers Act, and Rule 206(4)-3 thereunder, (Claim Five) and Section 15(b)(7) of the Exchange Act, and Rule 15b7-1 thereunder, (Claim Seven) are dismissed as a gainst Cohmad and the Cohns. Cohmad and the Cohns motion is otherwise denied. The SEC is granted leave to replead its defective claims by filing an amended complaint within 30 days from the date of this opinion and order. (Signed by Judge Louis L. Stanton on 2/1/10) (ae) Modified on 2/2/2010 (ajc). (Additional attachment(s) added on 2/2/2010: # 1 Main Document) (ae). Modified on 2/2/2010 (ae).

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Plaintiff: Securities and Exchange Commission
Represented By: James A Clarkson
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Defendant: Cohmad Securities Corporation
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Defendant: Maurice J. Cohn
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Defendant: Marcia B. Cohn
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Defendant: Robert M. Jaffe
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