Legal Opinion
Securities & Exchange Commission v. Neto
District Court, S.D. New York
Decided June 23, 2014No. 12 Civ. 7094(KPF)PublishedCited by 10 opinions
1Opinion of the Court
OPINION AND ORDER
KATHERINE POLK FAILLA, District Judge:
Non-party Wells Fargo & Company 401(k) Plan (the “Plan”) moves for reconsideration of or, in the alternative, relief from this Court’s January 7, 2014 Order entering a final judgment against Defendant Waldyr Silva Prado Neto. That Order, among other things, imposed a civil penalty and required the disgorgement of certain profits obtained by Prado from insider trading in securities; the Court ordered that the penalty and disgorgement could be satisfied by, among other assets, funds ostensibly representing Defendant’s liquidated assets in…
2Cases cited25 opinions
- Bruce C. Shrader v. Csx Transportation, Inc.Court of Appeals for the Second Circuit · 1995
- Laura Holtz v. Rockefeller & Co., Inc.Court of Appeals for the Second Circuit · 2001
- Guidry v. Sheet Metal Workers National Pension FundSupreme Court of the United States · 1990
- In Re Health Management Systems, Inc. Securities LitigationDistrict Court, S.D. New York · 2000
- Grace v. Bank Leumi Trust Company Of New YorkCourt of Appeals for the Second Circuit · 2006
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3Cited by10 opinions
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