Legal Opinion
Securities & Exchange Commission v. Happ
Court of Appeals for the First Circuit
Decided December 10, 2004No. 04-1406, 04-1461PublishedCited by 33 opinions
1Opinion of the Court
CAMPBELL, Senior Circuit Judge.
The Securities and Exchange Commission (SEC) brought a civil enforcement action in the district court against Robert D. Happ. After a jury trial, the jury returned a special verdict against Happ, finding that he had traded on material, nonpublic information in violation of the federal securities laws. Happ appeals from the district court’s denial of his motion for judgment as a matter of law, or in the alternative, for a new trial. Happ also appeals from the monetary remedies imposed by the court — the sum calculated as the disgorgement amount and an additional…
2Cases cited46 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Chiarella v. United StatesSupreme Court of the United States · 1980
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
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3Cited by33 opinions
- Surprenant v. RivasCourt of Appeals for the First Circuit · 2005
- Baron v. Suffolk County Sheriff's DepartmentCourt of Appeals for the First Circuit · 2005
- United States v. NacchioCourt of Appeals for the Tenth Circuit · 2009
- Securities & Exchange Commission v. EspositoDistrict Court, D. Massachusetts · 2017
- SEC v. HappCourt of Appeals for the First Circuit · 2006
28 more not listed; retrieve them via the Exa API.