Legal Opinion
Securities & Exchange Commission v. Bankosky
Court of Appeals for the Second Circuit
Decided May 14, 2013No. Docket 12-2943-cvPublishedCited by 22 opinions
1Per curiam
In this case, the Securities and Exchange Commission (the “SEC”) accused defendant-appellant Brent C. Bankosky of engaging in insider trading, in violation of sections 10(b) and 14(e) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. §§ 788(b), 78n(e), and SEC Rules 10b-5 and 14e-3. After the entry of a consent judgment, in which Ban-kosky neither admitted nor denied the allegations in the complaint, the SEC moved for an officer and director bar pursuant to section 21(d)(2) of the Exchange Act, 15 U.S.C. § 78u(d)(2). Relying on the factors in SEC v. Patel 61 F.3d 137 (2d…
2Cases cited10 opinions
- Ameriprise Financial Services, Inc. v. BelandCourt of Appeals for the Second Circuit · 2011
- Silivanch v. Celebrity Cruises, Inc.Court of Appeals for the Second Circuit · 2003
- Fed. Sec. L. Rep. P 96,610 Securities and Exchange Commission v. Gerson Blatt, Barton S. Udell, and John PullmanCourt of Appeals for the Fifth Circuit · 1978
- Fed. Sec. L. Rep. P 98,813 Securities and Exchange Commission v. Ratilal K. PatelCourt of Appeals for the Second Circuit · 1995
- Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
5 more not listed; retrieve them via the Exa API.
3Cited by22 opinions
- S.E.C. v. RajaratnamCourt of Appeals for the Second Circuit · 2019
- U.S. Securities and Exchange Commission v. E-Smart Technologies, Inc.District Court, District of Columbia · 2015
- Securities & Exchange Commission v. ColeCourt of Appeals for the Second Circuit · 2016
- Securities & Exchange Commission v. StratoComm Corp.District Court, N.D. New York · 2015
- United States Securities & Exchange Commission v. BengerDistrict Court, N.D. Illinois · 2014
17 more not listed; retrieve them via the Exa API.