Legal Opinion
Securities & Exchange Commission v. Moran
District Court, S.D. New York
Decided November 1, 1996No. 95 Civ. 4472 (BN)PublishedCited by 76 opinions
1Opinion of the Court
OPINION, FINDINGS OF FACT, AND CONCLUSIONS OF LAW
NEWMAN, Senior Judge: 1
This matter represents the penalty phase of the civil securities fraud enforcement action brought against Frederick Augustus Moran (“Moran Sr.”), Frederick Winston Moran (“Moran Jr.”), Moran Asset Management Inc. (“Moran Asset”), and Moran & Associates, Inc., Securities Brokerage (“Moran Brokerage”). In a previous decision, the court dismissed the insider trading claims brought against each of the defendants, but found Moran Sr., Moran Asset, and Moran Brokerage hable for other violations of federal securities laws. SEC…
2Cases cited11 opinions
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Securities and Exchange Commission v. First City Financial Corporation, Ltd.Court of Appeals for the First Circuit · 1989
- Fed. Sec. L. Rep. P 98,813 Securities and Exchange Commission v. Ratilal K. PatelCourt of Appeals for the Second Circuit · 1995
- Fed. Sec. L. Rep. P 95,804 Securities and Exchange Commission v. Universal Major Industries Corp., Arthur J. HomansCourt of Appeals for the Second Circuit · 1976
- Securities and Exchange Commission v. Victor Posner and Steven N. Posner, and Drexel Burnham Lambert, Inc.Court of Appeals for the Second Circuit · 1994
6 more not listed; retrieve them via the Exa API.
3Cited by76 opinions
- Official Committee of Unsecured Creditors of WorldCom, Inc. v. Securities & Exchange CommissionCourt of Appeals for the Second Circuit · 2006
- Securities & Exchange Commission v. HaligiannisDistrict Court, S.D. New York · 2007
- Securities & Exchange Commission v. Kenton Capital, Ltd.District Court, District of Columbia · 1998
- Securities & Exchange Commission v. SargentCourt of Appeals for the First Circuit · 2003
- Securities & Exchange Commission v. Opulentica, LLCDistrict Court, S.D. New York · 2007
71 more not listed; retrieve them via the Exa API.