Legal Opinion
Richard Morales v. Quintel Entertainment, Inc. And Peter Stolz
Court of Appeals for the Second Circuit
Decided May 2, 2001No. 2000PublishedCited by 577 opinions
1Opinion of the Court
CARDAMONE, Circuit Judge:
This appeal presents important issues relating to “short-swing” trading under § 16(b) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78p(b) (1994). 1 Because defendant Peter Stolz concededly does not own in his name ten percent or more of the stock in which he, as an insider, is alleged to have traded, our discussion necessarily focuses on whether defendant owns ten percent as a “beneficial owner.” The Exchange Act did not at the time of its enactment define the term “beneficial owner.” That obvious gap was filled in over many years by case law…
2Cases cited29 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Grishelda Bryant v. John J. Maffucci, Dawn Thackeray, Yvonne Powell, Norwood Jackson and Dr. Edward AllanCourt of Appeals for the Second Circuit · 1991
- Rondeau v. Mosinee Paper Corp.Supreme Court of the United States · 1975
- Heublein, Inc. And Subsidiaries v. United StatesCourt of Appeals for the Second Circuit · 1993
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3Cited by577 opinions
- Holcomb v. Iona CollegeCourt of Appeals for the Second Circuit · 2008
- Marc Andrew Mario v. P & C Food Markets, Inc.Court of Appeals for the Second Circuit · 2002
- Roth v. JenningsCourt of Appeals for the Second Circuit · 2007
- LAW DEBENTURE TRUST CO. OF NY. v. Maverick Tube Corp.Court of Appeals for the Second Circuit · 2010
- Fireman's Fund Insurance v. Great American InsuranceCourt of Appeals for the Second Circuit · 2016
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