Legal Opinion
Securities & Exchange Commission v. Gabelli
Court of Appeals for the Second Circuit
Decided August 1, 2011No. Docket 10-3581-cv(L), 10-3628-cv(XAP), 10-3760-cv(XAP)PublishedCited by 77 opinions
1Opinion of the Court
RAKOFF, District Judge.
Plaintiff-appellant the Securities and Exchange Commission (“SEC”) appeals from a judgment entered August 17, 2010, dismissing the SEC’s complaint against Marc J. Gabelli, the portfolio manager of the mutual fund Gabelli Global Growth Fund (“GGGF” or the “Fund”), and Bruce Alpert, the chief operating officer for the Fund’s adviser, Gabelli Funds, LLC (“Gabelli Funds” or the “Adviser”). For the following reasons, we REVERSE the District Court’s judgment and REMAND for further proceedings consistent with this opinion. 1
BACKGROUND
Unless otherwise noted, the following facts…
2Cases cited21 opinions
- Bell Atlantic Corp. v. TwomblySupreme Court of the United States · 2007
- Holmberg v. ArmbrechtSupreme Court of the United States · 1946
- TRW Inc. v. AndrewsSupreme Court of the United States · 2001
- Myers v. Hertz Corp.Court of Appeals for the Second Circuit · 2010
- Bailey v. GloverSupreme Court of the United States · 1875
16 more not listed; retrieve them via the Exa API.
3Cited by77 opinions
- Gabelli v. Securities & Exchange CommissionSupreme Court of the United States · 2013
- In re Vivendi, S.A. Secs. Litig.Court of Appeals for the Second Circuit · 2016
- Wilson v. Merrill Lynch & Co., Inc.Court of Appeals for the Second Circuit · 2011
- In re Facebook, Inc., IPO Securities & Derivative LitigationDistrict Court, S.D. New York · 2014
- Securities & Exchange Commission v. Pentagon Capital Management PLCCourt of Appeals for the Second Circuit · 2013
72 more not listed; retrieve them via the Exa API.