Legal Opinion
Securities & Exchange Commission v. Happ
District Court, D. Massachusetts
Decided November 25, 2003No. CIV.A. 00-12051-REKPublishedCited by 8 opinions
1Opinion of the Court
Opinion
KEETON, Senior District Judge.
I. Introduction
This is a civil enforcement proceeding brought by the Securities and Exchange Commission (SEC) against Robert D. Happ. After extensive pretrial proceedings, the case proceeded to jury trial and a special verdict in the form of answers to questions under Rule 49(a) of the Federal Rules of Civil Procedure. After post-verdict motions, filed submissions, and oral argument on October 29, 2003, the case is now before the court for determination of appropriate relief.
For reasons explained in Part II of this Opinion, I allow a defense motion for…
2Cases cited15 opinions
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
- United States v. O'HaganSupreme Court of the United States · 1997
- John B. Janigan v. Frederick B. TaylorCourt of Appeals for the First Circuit · 1965
- Securities and Exchange Commission v. First City Financial Corporation, Ltd.Court of Appeals for the First Circuit · 1989
- Fed. Sec. L. Rep. P 93,072 Securities and Exchange Commission v. Texas Gulf Sulphur Company, a Texas CorporationCourt of Appeals for the Second Circuit · 1971
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3Cited by8 opinions
- Securities & Exchange Commission v. HappCourt of Appeals for the First Circuit · 2004
- Securities & Exchange Commission v. DruffnerDistrict Court, D. Massachusetts · 2007
- SEC v. HappCourt of Appeals for the First Circuit · 2006
- Securities & Exchange Commission v. DruffnerDistrict Court, D. Massachusetts · 2011
- Happ v. Corning, Inc.Court of Appeals for the First Circuit · 2006
3 more not listed; retrieve them via the Exa API.