S.E.C. v. Rosenthal, No. 10-1204-cv (2nd Cir.) (650 F.3d 156) (June 9, 2011) (Judge Robert A. Katzmann)
In a securities action alleging insider trading in violation of the Securities Exchange Act of 1934 (Act), 15 U.S.C. ยง 78u(d)(3), judgment of the district court granting the SEC partial summary judgment is affirmed in part and reversed in part where civil monetary penalties for insider trading are not available ...
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