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United States Securities and Exchange Commission v. A Chicago Convention Center, LLC

United States District Court, N.D. Illinois

August 6, 2013

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
A CHICAGO CONVENTION CENTER, LLC, ANSHOO SEHTI, and INTERCONTINENTAL REGIONAL CENTER TRUST OF CHICAGO, LLC, Defendants

For United States Securities and Exchange Commission, Plaintiff: Patrick M Bryan, LEAD ATTORNEY, U.S. Securities & Exchange Commission, Washington, DC.

For Anshoo R Sethi, Intercontinental Regional Center Trust of Chicago, LLC, A Chicago Convention Center, LLC, Defendant: Scott T. Mendeloff, LEAD ATTORNEY, Gabriel Aizenberg, Jason B. Elster, Greenberg Traurig, LLP, Chicago, IL; Arthur Don, Seyfarth Shaw LLP, Chicago, IL.

For Dong Mei Xu, Intervenor Plaintiff: Michael R. Dockterman, Stephen J. Landes, William R Lee, LEAD ATTORNEYS, Edwards Wildman Palmer LLP, Chicago, IL; Henry B. Handler, William J Berger, PRO HAC VICE, Weiss, Handler & Cornwell, P.a., Boca Raton, FL.

For John Does 1 - 90, proposed: Michael R. Dockterman, William R Lee, LEAD ATTORNEYS, Stephen J. Landes, Edwards Wildman Palmer LLP, Chicago, IL.

Peter De Witt Joseph, Movant, Pro se, Chicago, IL.

For TD AMERITRADE, Inc., Intervenor: Matthew M Enenbach, Kutak Rock Llp, Omaha, NE.

For Jane Does A to N, Intervenor: Michael Lee Tinaglia, LEAD ATTORNEY, Law Offices of Michael Lee Tinaglia, Ltd., Park Ridge, IL.

OPINION

AMY J. ST. EVE, United States District Court Judge.

Page 906

MEMORANDUM OPINION AND ORDER

On February 26, 2013, the United States Securities and Exchange Commission

Page 907

(" SEC" ) filed a three-count Complaint against Defendants A Chicago Convention Center, LLC (" ACCC" ), Anshoo Sethi (" Sethi" ), and Intercontinental Regional Center Trust of Chicago, LLC (" IRCTC" ), alleging violations of the Securities Act of 1933, 15 U.S.C. § 77q(a)(1)-(a)(3) (the " Securities Act" ), Section 10(b) of the Securities Exchange Act of 1934 (the " Exchange Act" ), 15 U.S.C. § 78j(b), and Exchange Act Rule 10b-5, 17 C.F.R. § 240.10b-5 (" Rule 10b-5" ). (R. 3, Compl.) On April 29, 2013, A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC (collectively, the " Corporate Defendants" ) filed a motion to dismiss the Complaint pursuant to Federal Rule of Civil Procedure (" Rule" ) ...


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