Legal Opinion
Securities & Exchange Commission v. Carroll
District Court, W.D. Kentucky
Decided December 9, 2011No. Civil Action No. 3:11-CV-165-HPublishedCited by 2 opinions
1Opinion of the Court
MEMORANDUM OPINION AND ORDER
JOHN G. HEYBURN, II, District Judge.
Plaintiff, the United States Securities and Exchange Commission (the “SEC”), *283brought this action against eight defendants for alleged violations of Section 10(b) of the Securities Exchange Act of 1934 (“SEA”), 15 U.S.C. § 78j(b) and its accompanying Rule 10b-5, 17 C.F.R. § 240.10b-5. The Complaint alleges insider trading in securities of Louisville-based Steel Technologies, Inc. (“STTX”) prior to the February 28, 2007 announcement that Mitsui & Co. (USA) Inc. (“Mitsui”) would acquire STTX.
In previous memorandum opinions and…
2Cases cited16 opinions
- Perry O. Hooper, as Trustee in Bankruptcy of Consolidated American Industries, Inc. v. Mountain States Securities CorporationCourt of Appeals for the Fifth Circuit · 1960
- Fed. Sec. L. Rep. P 94,557 Irving Mariash v. Charles Morrill and Bernard Berwick, and David R. PokrossCourt of Appeals for the Second Circuit · 1974
- United States v. Jon Geibel, Chad L. Conner, and Gordon K. Allen, Jr.Court of Appeals for the Second Circuit · 2004
- Job Haines Home for the Aged v. YoungDistrict Court, D. New Jersey · 1996
- Securities & Exchange Commission v. National Student Marketing Corp.District Court, District of Columbia · 1973
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3Cited by2 opinions
- Securities and Exchange Commission v. DishingerDistrict Court, N.D. Georgia · 2023
- Securities and Exchange Commission v. DishingerDistrict Court, N.D. Illinois · 2023