Legal Opinion
Securities & Exchange Commission v. Druffner
District Court, D. Massachusetts
Decided January 5, 2005No. CIV.A.03-12154-NMGPublishedCited by 12 opinions
1Opinion of the Court
MEMORANDUM & ORDER
GORTON, District Judge.
This civil case involves allegations by the Securities and Exchange .Commission (“SEC”) that defendants, former stock brokers and their branch manager, violated the Securities Act of 1933 (“the Securities Act”) and the Securities Exchange Act of 1934 (“the Exchange Act”) in connection with market timing activities. The SEC brings this action pursuant to Section 20(b) of the Securities Act, 15 U.S.C. § 77t(b), and Section 21(d)(1) of the Exchange Act, 15 U.S.C. § 78u(d)(l).
I. Background
A. Factual Background
The following facts are set forth as alleged in…
2Cases cited21 opinions
- Conley v. GibsonSupreme Court of the United States · 1957
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Central Bank of Denver, N. A. v. First Interstate Bank of Denver, N. A.Supreme Court of the United States · 1994
- Pinter v. DahlSupreme Court of the United States · 1988
- Greebel v. FTP Software, Inc.Court of Appeals for the First Circuit · 1999
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3Cited by12 opinions
- Securities & Exchange Commission v. BerryDistrict Court, N.D. California · 2008
- United States Securities & Exchange Commission v. BrownDistrict Court, District of Columbia · 2010
- Securities & Exchange Commission v. SteffesDistrict Court, N.D. Illinois · 2011
- Securities Exchange Commission v. DurgarianDistrict Court, D. Massachusetts · 2007
- DH2, Inc. v. AthanassiadesDistrict Court, N.D. Illinois · 2005
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