Publication Date: 2016-11-04
Practice Area:
Industry:
Court: U.S. District Court, Northern District
Judge: District Judge Gary Sharpe
Attorneys: For plaintiff: For The Plaintiff: David P. Stoelting, Esq., Haimavathi V. Marlier, Esq., Jack Kaufman, Esq., Joshua M. Newville, Esq., Kevin P. McGrath, Esq., Lara S. Mehraban, Esq., of Counsel, U.S Securities and Exchange Commission, New York, NY.
for defendant: For The Defendants, Investors, and Intervenors: William J. Brown, Esq., of Counsel, McGinn, Smith & Co.; Inc., McGinn, Smith Advisors, LLC; McGinn, Smith Capital Holdings Corp.; First Advisory Income Notes, LLC; First Excelsior Income Notes, LLC; First Independent Income Notes, LLC; and Third Albany Income Notes, LLC, Phillips, Lytle LLP, Buffalo, NY. Kevin Laurilliard, Esq., of Counsel, JAT Construction Co., Inc. Defined Benefit Pension Plan, Joseph Allegretta, and Suzanne Allegretta McNamee, Lochner Law Firm, Albany, NY. James H. Glavin, IV, Esq., of Counsel, Stan Rabinovich and Eva Rabinovich Glavin, Glavin Law Firm, Waterford, NY. Bonnie R. Golub, Esq., Walter Weir, Jr., Esq., of Counsel, Certain Investors1 Weir & Partners LLP, New York, NY. Michael A. Kornstein, Esq., of Counsel, RBS Citizen, N.A., Cooper, Erving Law Firm, Albany, NY. David G. Newcomb, Pro Se, Mount Bethel, PA. Judith A. Newcomb, Pro Se, Mount Bethel, PA. Terri L. Reicher, Esq., of Counsel, FINRA & the FINRA Employees National Association of Securities Dealers, Inc. Washington, D.C. Elizabeth C. Coombe, Assistant U.S. Attorney, of Counsel, Hon. Richard S. Hartunian, United States Attorney, Albany, NY.
Case Number: 1:10-cv-457
Cite as: ties and Exchange Commission v. McGinn, Smith & Co., Inc., 1:10-cv-457, NYLJ 1202771454117, at *1 (NDNY, Decided October 31, 2016) CASENAME