Legal Opinion
Securities & Exchange Commission v. Tambone
Court of Appeals for the First Circuit
Decided December 3, 2008No. 07-1384PublishedCited by 54 opinions
1Opinion of the Court
LIPEZ, Circuit Judge.
In this enforcement action brought by the Securities and Exchange Commission (“SEC” or “the Commission”), the Commission seeks to hold defendants James R. Tambone and Robert Hussey, executives of Columbia Funds Distributor, Inc., the primary underwriter for the Columbia family of mutual funds, responsible both as primary violators of the federal securities laws and as aiders and abettors of uncharged primary violations of Columbia Advisors and/or Columbia Distributor.1 After carefully reviewing the relevant statutes and precedents, we conclude that Tambone and Hussey may…
2Cases cited77 opinions
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- Tellabs, Inc. v. Makor Issues & Rights, Ltd.Supreme Court of the United States · 2007
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
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3Cited by54 opinions
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2010
- Gabelli v. Securities & Exchange CommissionSupreme Court of the United States · 2013
- Barry Belmont v. MB Investment Partners, Inc.Court of Appeals for the Third Circuit · 2013
- Securities & Exchange Commission v. DiBellaCourt of Appeals for the Second Circuit · 2009
- United States Securities & Exchange Commission v. Pirate Investor LLCCourt of Appeals for the Fourth Circuit · 2009
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