United States Seventh Circuit

An SEC order finding that defendant, president of an investment company, violated the Investment Advisers Act is reversed where there was insufficient evidence to support a finding that defendant aided and abetted the violation.

Appellate Information

• Argued 02/17/2004
• Decided 11/30/2004
• Published 11/30/2004

Judges

• WILLIAMS, Circuit Judge., Before RIPPLE, KANNE, and WILLIAMS, Circuit Judges.

Court

• United States Seventh Circuit

Counsel

• For Appellant:
  
• Steven S. Scholes (argued), McDermott, Will & Emery, Chicago, IL, Douglas G. Edelschick, McDermott, Will & Emery, Washington, DC, for Petitioners.


• For Appellees:
  
• John W. Avery (argued), Securities & Exchange Commission, Office of the General Counsel, Washington, DC, Mary Keefe, Securities and Exchange Commission, Chicago, IL, for Respondent.