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S.E.C. v. UNIFUND SAL

Nos. 1308, 1318, 1319, 1430, Dockets 90-6093, 90-6057, 90-6091, 90-6103.

910 F.2d 1028 (1990)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. UNIFUND SAL and Tamanaco Saudi & Gulf Investment Group, Defendants-Appellants, Fondation Hai, Holding Protection, Ltd., Robert Rossi, and Certain Purchasers of the Common Stock and Options to Purchase the Common Stock of Rorer Group, Inc., Defendants.

United States Court of Appeals, Second Circuit.

Decided August 3, 1990.

Attorney(s) appearing for the Case

Phillippe M. Salomon, New York City (Willkie Farr & Gallagher, New York City, on the brief), for defendant-appellant Unifund SAL.

Pamela W. Weiss, Miami, Fla. (Samuel I. Burstyn, Miami, Fla., on the brief), for defendant-appellant Tamanaco Saudi & Gulf Investment Group.

Thomas L. Riesenberg, Asst. Gen. Counsel, Securities & Exchange Comm'n, Washington, D.C. (Paul Gonson, Solicitor, Daniel L. Goelzer, Gen. Counsel, Phillip D. Parker, Assoc. Gen. Counsel, Joseph A. Franco, Susan Nash, Rada L. Potts, Securities & Exchange Comm'n, Wash., D.C., on the brief), for plaintiff-appellee.

Before VAN GRAAFEILAND, NEWMAN and KEARSE, Circuit Judges.

JON O. NEWMAN, Circuit Judge:

This is an appeal by two securities purchasers from a preliminary injunction obtained by the Securities and Exchange Commission in a case of alleged insider trading. This case is unusual in that, as the Commission acknowledged at oral argument, it is the first insider trading case in which the Commission has sought relief against alleged tippees before identifying the alleged tipper. Unifund SAL ("Unifund") and Tamanaco Saudi & Gulf...

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