Legal Opinion
Securities & Exchange Commission v. Ficken
Court of Appeals for the First Circuit
Decided October 20, 2008No. 07-2532PublishedCited by 87 opinions
1Opinion of the Court
DYK, Circuit Judge.
The Securities and Exchange Commission (“SEC”) filed a civil complaint against defendant-appellant Justin F. Ficken (“Ficken”) and others in the United States District Court for the District of Massachusetts, alleging violations of 15 U.S.C. § 77q(a), 15 U.S.C. § 78j(b), and 17 C.F.R. § 240.10b-5. The SEC alleged that Ficken intentionally concealed his identity and the identities of his clients while trading shares of mutual funds, in order to mislead mutual fund companies into processing trades that they otherwise would not have allowed. The district court granted the…
2Cases cited26 opinions
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- Milissa Garside v. Osco Drug, Inc.Court of Appeals for the First Circuit · 1990
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
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3Cited by87 opinions
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