Securities and Exchange Commis v. McGinn, Smith & Company, Incor

Justia Dockets & Filings Second Circuit U.S. Court of Appeals, Second Circuit Securities and Exchange Commis v. McGinn, Smith & Company, Incor

Securities and Exchange Commis v. McGinn, Smith & Company, Incor

Defendant:	McGinn, Smith & Company, Incorporated, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corporation, First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, David L. Smith and Nancy McGinn
Plaintiff - Appellee:	Securities and Exchange Commission
Appellant:	Jill A. Dunn
Defendant - Appellant:	Lynn A. Smith, Lauren T. Smith, David M. Wojeski, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04 and Geoffrey R. Smith
Case Number:	11-3843
Filed:	September 23, 2011
Court:	U.S. Court of Appeals, Second Circuit
Nature of Suit:	STATUTES-Secur Comm Exchange

Opinions

We have the following opinions for this case:

Date Filed	Description
March 18, 2013	SEC v. McGinn, et al.

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Plaintiff - appellee: Securities and Exchange Commission
Represented By:	Kevin Patrick McGrath
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Appellant: Jill A. Dunn
Represented By:	Benjamin Zelermyer
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Defendant: McGinn, Smith & Company, Incorporated
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Defendant: McGinn, Smith Advisors, LLC
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Defendant: McGinn, Smith Capital Holdings Corporation
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Defendant: First Advisory Income Notes, LLC
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Defendant: First Excelsior Income Notes, LLC
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Defendant: First Independent Income Notes, LLC
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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: Nancy McGinn
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Defendant - appellant: Lynn A. Smith
Represented By:	James D. Featherstonhaugh
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Defendant - appellant: Lauren T. Smith
Represented By:	Stephen B. Hanse
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Defendant - appellant: David M. Wojeski, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A 8/04/04
Represented By:	Fred N. Knopf
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Defendant - appellant: Geoffrey R. Smith
Represented By:	Stephen B. Hanse
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