Legal Opinion
Securities & Exchange Commission v. Apuzzo
Court of Appeals for the Second Circuit
Decided August 8, 2012No. Docket 11-696-cvPublishedCited by 80 opinions
1Opinion of the Court
RAKOFF, District Judge:
The Securities and Exchange Commission (“SEC”) alleges that defendant Joseph Apuzzo aided and abetted securities laws violations through his role in a fraudulent accounting scheme. In order for a defendant to be liable as an aider and abettor in a civil enforcement action, the SEC must prove: “(1) the existence of a securities law violation by the primary (as opposed to the aiding and abetting) party; (2) ‘knowledge’ of this violation on the part of the aider and abettor; and (3) ‘substantial assistance’ by the aider and abettor in the achievement of the primary…
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