Legal Opinion
Securities & Exchange Commission v. Sargent
Court of Appeals for the First Circuit
Decided October 11, 2000No. 00-1293PublishedCited by 2 opinions
1Opinion of the Court
WALLACE, Circuit Judge.
The Securities and Exchange Commission (Commission) appeals from a directed verdict entered in favor of defendants-ap-pellees, Dennis J. Shepard, Michael G. Sargent, and Robert J. Scharn. The Commission also challenges the district court’s denial of its request for pre-trial discovery and the district court’s decision to exclude the criminal convictions of Sargent and Scharn for lying to Commission investigators. The district court had jurisdiction under 15 U.S.C. §§ 78u(d)(l), 78u(d)(3), 78u(e), 78u-l, and 78aa. We have jurisdiction pursuant to 28 U.S.C. § 1291. We…
2Cases cited25 opinions
- Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.Supreme Court of the United States · 1984
- Hickman v. TaylorSupreme Court of the United States · 1947
- Thomasina Mack v. The Great Atlantic and Pacific Tea Company, Inc.Court of Appeals for the First Circuit · 1989
- Batterton v. FrancisSupreme Court of the United States · 1977
- United States v. O'HaganSupreme Court of the United States · 1997
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3Cited by2 opinions
- SEC v. SargentCourt of Appeals for the First Circuit · 2003
- Securities and Exch v. SargentCourt of Appeals for the First Circuit · 2000