Legal Opinion
VanCook v. Securities & Exchange Commission
Court of Appeals for the Second Circuit
Decided August 8, 2011No. 10-31PublishedCited by 21 opinions
1Opinion of the Court
GERARD E. LYNCH, Circuit Judge:
Petitioner John Joseph VanCook, a former stockbroker, seeks review of an order of the Securities and Exchange Commission (“SEC” or “Commission”), which found that he willfully violated the anti-fraud provisions of the Securities Exchange Act of 1934 (“Exchange Act”), see 15 U.S.C. § 783(b), 17 C.F.R. § 240.10b-5, by orchestrating a scheme that allowed certain customers to engage in late trading of mutual funds, and that he aided and abetted and caused the failure of his firm to keep accurate books and records, in violation of the Exchange Act’s record-keeping…
2Cases cited20 opinions
- Grayned v. City of RockfordSupreme Court of the United States · 1972
- Grayned v. City of RockfordSupreme Court of the United States · 1972
- National Cable & Telecommunications Assn. v. Brand X Internet ServicesSupreme Court of the United States · 2005
- Chiarella v. United StatesSupreme Court of the United States · 1980
- Superintendent of Insurance of New York v. Bankers Life & Casualty Co.Supreme Court of the United States · 1971
15 more not listed; retrieve them via the Exa API.
3Cited by21 opinions
- United States v. VilarCourt of Appeals for the Second Circuit · 2013
- Securities and Exchange Commission v. Joseph J. MonterossoCourt of Appeals for the Eleventh Circuit · 2014
- Securities & Exchange Commission v. Pentagon Capital Management PLCCourt of Appeals for the Second Circuit · 2013
- Securities & Exchange Commission v. Richard L. GobleCourt of Appeals for the Eleventh Circuit · 2012
- United States v. NouriCourt of Appeals for the Second Circuit · 2013
16 more not listed; retrieve them via the Exa API.