Legal Opinion
Securities & Exchange Commission v. Pentagon Capital Management PLC
Court of Appeals for the Second Circuit
Decided August 8, 2013No. Docket 12-1680-cvPublishedCited by 60 opinions
1Opinion of the Court
JOHN M. WALKER, JR., Circuit Judge:
Defendants-Appellants Pentagon Capital Management and Lewis Chester appeal from a judgment of the United States District Court for the Southern District of New York (Sweet, Judge). After a bench trial, the district court found the defendants liable for securities fraud under Section 17(a) of the Securities Act of 1933 (the “Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), and Rule 10b-5; ordered disgorgement; and imposed a civil penalty. Each monetary award was imposed jointly and severally in the amount of…
2Cases cited10 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Janus Capital Group, Inc. v. First Derivative TradersSupreme Court of the United States · 2011
- Gabelli v. Securities & Exchange CommissionSupreme Court of the United States · 2013
- Securities Exchange Commission v. Monarch Funding Corporation, Leo M. Eisenberg, Steven R. Cloyes, and Richard M. Cannistraro, Richard O. BertoliCourt of Appeals for the Second Circuit · 1999
- Fed. Sec. L. Rep. P 90,239 Securities and Exchange Commission v. Thomas WardeCourt of Appeals for the Second Circuit · 1998
5 more not listed; retrieve them via the Exa API.
3Cited by60 opinions
- U.S. Securities and Exchange Commission v. Big Apple Consulting USA, Inc.Court of Appeals for the Eleventh Circuit · 2015
- SEC v. GenAudio Inc.Court of Appeals for the Tenth Circuit · 2022
- Securities & Exchange Commission v. FrohlingCourt of Appeals for the Second Circuit · 2016
- Securities & Exchange Commission v. SourlisCourt of Appeals for the Second Circuit · 2016
- Criterium Capital Funds B.V. v. Tremont (Bermuda) Ltd.Court of Appeals for the Second Circuit · 2015
55 more not listed; retrieve them via the Exa API.