• U.S. Court of Appeals, Second Circuit
  • 13-3191-cv
  • Before: Kearse, Pooler, and Droney, C.JJ.
  • For Plaintiff: For Plaintiff-Appellee: Anne K. Small, General Counsel, Michael A. Conley, Deputy General Counsel, Jacob H. Stillman, Solicitor, Securities and Exchange Commission, Washington, D.C., on the brief, Allan A. Capute, Special Counsel to the Solicitor, Washington, D.C.
  • For Defendant: Defendant-Cross-Claimant-Cross-Defendant-Appellant: John B. Frohling, pro se, Jersey City, New Jersey.
Penalties Affirmed Against Lawyer Over Opinion Letters

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