Securities and Exchange Commission v. McGinn, Smith & Co., Inc. et al

Justia Dockets & Filings Ninth Circuit Arizona District Court Securities and Exchange Commission v. McGinn, Smith & Co., Inc. et al

Securities and Exchange Commission v. McGinn, Smith & Co., Inc. et al

Plaintiff:	United States Securities and Exchange Commission
Defendant:	First Excelsior Income Notes, LLC, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corp., First Advisory Income Notes, LLC, First Independent Income Notes, LLC, McGinn, Smith & Co., Inc., Third Albany Income Notes, LLC, Timothy M McGinn, David L Smith and Lynn A Smith
Receiver:	William J Brown
Case Number:	2:2010mc00046
Filed:	April 23, 2010
Court:	US District Court for the District of Arizona
Office:	Phoenix Division Office
County:	XX US, Outside State
Nature of Suit:	Other Statutory Actions
Cause of Action:	Civil Miscellaneous Case

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Defendant: First Excelsior Income Notes, LLC
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Defendant: McGinn, Smith Advisors, LLC
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Defendant: McGinn, Smith Capital Holdings Corp.
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Defendant: First Advisory Income Notes, LLC
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Defendant: First Independent Income Notes, LLC
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Defendant: McGinn, Smith & Co., Inc.
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Defendant: Third Albany Income Notes, LLC
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Defendant: Timothy M McGinn
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Defendant: David L Smith
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Defendant: Lynn A Smith
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Plaintiff: United States Securities and Exchange Commission
Represented By:	David Stoelting
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Receiver: William J Brown
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