Legal Opinion
Securities & Exchange Commission v. Ginder
Court of Appeals for the Second Circuit
Decided May 19, 2014No. Docket No. 13-1116PublishedCited by 29 opinions
1Opinion of the Court
DENNIS JACOBS, Circuit Judge:
Frederick O’Meally, a broker, traded on his clients’ behalf using a mutual-fund trading strategy known as market timing. While market timing is legal, doing it in a deceptive manner (like anything else in securities trading) is not. And many mutual funds have policies that forbid or discourage it. In this civil enforcement action, the Securities and Exchange Commission (“SEC”) alleged deceptive conduct by. O’Meally with respect to trading in sixty mutual funds. Specifically, the complaint alleged that O’Meally failed to follow- directives issued by the mutual…
2Cases cited13 opinions
- Jones v. Town of East HavenCourt of Appeals for the First Circuit · 2012
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
- Zellner v. SummerlinCourt of Appeals for the Second Circuit · 2007
- Kircher v. Putnam Funds TrustSupreme Court of the United States · 2006
- Tepperwien v. Entergy Nuclear Operations, Inc.Court of Appeals for the Second Circuit · 2011
8 more not listed; retrieve them via the Exa API.
3Cited by29 opinions
- Ashley v. City of New YorkCourt of Appeals for the Second Circuit · 2021
- Warren v. PatakiCourt of Appeals for the Second Circuit · 2016
- Edelman v. NYU LangoneCourt of Appeals for the Second Circuit · 2025
- United States Securities & Exchange Commission v. WeyDistrict Court, S.D. New York · 2017
- The Robare Group, LTD. v. SECCourt of Appeals for the D.C. Circuit · 2019
24 more not listed; retrieve them via the Exa API.