Legal Opinion
Securities & Exchange Commission v. Slocum, Gordon, & Co.
District Court, D. Rhode Island
Decided September 28, 2004No. C.A. 02-367LPublishedCited by 18 opinions
1Opinion of the Court
DECISION AND ORDER
LAGUEUX, Senior District Judge.
The Plaintiff in this case, the Securities and Exchange Commission (“SEC” or “Commission”) brought a civil suit against the investment firm of Slocum, Gordon, & Co. (“SG & C”) and its two founding partners, John J. Slocum, Jr. (“Slocum”) and Jeffrey L. Gordon (“Gordon”). The Commission’s chief allegation against these Defendants is that they defrauded both the SEC and their clients between the years 1996 and 2000 through a practice commonly called “cherry picking,” whereby certain stocks were initially purchased for clients and later…
2Cases cited22 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- United States v. W. T. Grant Co.Supreme Court of the United States · 1953
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Greebel v. FTP Software, Inc.Court of Appeals for the First Circuit · 1999
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3Cited by18 opinions
- Picard v. Legacy Capital Ltd. (In re Bernard L. Madoff Investment Securities LLC)United States Bankruptcy Court, S.D. New York · 2016
- Lamm Ex Rel. Ira v. State Street Bank & TrustCourt of Appeals for the Eleventh Circuit · 2014
- Moross Ltd. Partnership v. Fleckenstein Capital, Inc.Court of Appeals for the Sixth Circuit · 2006
- SEC v. World TreeCourt of Appeals for the Fifth Circuit · 2022
- Securities & Exchange Commission v. Locke Capital Management, Inc.District Court, D. Rhode Island · 2011
13 more not listed; retrieve them via the Exa API.