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. § 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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