United States Second Circuit
Securities and Exchange Commission v. Rosenthal, 10-1204
In a securities action alleging insider trading in violation of the Securities Exchange Act of 1934 (Act), 15 U.S.C. section 78u(d)(3), judgment of the district court granting the SEC partial summary judgment is affirmed in part and reversed in part where civil monetary penalties for insider trading are not available under section 21(d)(3) of the Act.
Appellate Information
- Decided 06/09/2011
- Published 06/09/2011
Judges
- KATZMANN
Court
- United States Second Circuit
Counsel
- For Appellant:
- ROBERT KNUTS, TRACEY A. HARDIN