Legal Opinion
Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. Brennan
Court of Appeals for the First Circuit
Decided December 10, 1996No. 1154, 1155, Dockets 95-6192, 95-6194PublishedCited by 864 opinions
1Opinion of the Court
KEARSE, Circuit Judge:
Defendants First Jersey Securities, Inc. (“First Jersey” or the “Firm”), and Robert E. Brennan appeal from a judgment entered in the United States District Court for the Southern District of New York following a bench trial before Richard Owen, Judge, holding ■ defendants liable for violations of § 17(a) of the Securities Act of 1933 (“1933 Act”), 15 U.S.C. § 77q(a) (1994); § 10(b) of the Securities Exchange Act of 1934 (“1934 Act”), 15 U.S.C. § 78j(b) (1994); and Securities and Exchange Commission (“SEC” or the “Commission”) Rule 10b-5, 17 C.F.R. § 240.10b-5 (1995),' in…
2Cases cited55 opinions
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