Legal Opinion
Securities & Exchange Commission v. Carroll
District Court, W.D. Kentucky
Decided March 24, 2014No. Civil Action No. 3:11-CV-165-HPublishedCited by 2 opinions
1Opinion of the Court
MEMORANDUM OPINION AND ORDER
JOHN G. HEYBURN II, District Judge.
The Securities and Exchange Commission (SEC) brought this civil action alleging violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) by Defendants Patrick' M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher T. Cal-cutt, David A. Stitt, John Monroe, and Stephen Somers. Defendants traded in the securities of Steel Technologies, Inc. (STTX) in the month before the February 28, 2007 public announcement of its acquisition by Mitsui & Co. USA Inc. (Mitsui). The six Defendants…
2Cases cited31 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Matsushita Electric Industrial Co., Ltd. v. Zenith Radio CorporationSupreme Court of the United States · 1986
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Michael E. Moss v. Morgan Stanley Inc., E. Jacques Courtois, Jr., Adrian Antoniu, and James M. Newman, Morgan Stanley Inc. And James M. NewmanCourt of Appeals for the Second Circuit · 1983
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3Cited by2 opinions
- Securities & Exchange Commission v. MegalliDistrict Court, N.D. Georgia · 2015
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