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S.E.C. v. CLARK

No. 89-35486.

915 F.2d 439 (1990)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. John Naylor CLARK, III, Defendant-Appellant, and Russell G. Van Moppes, Defendant.

United States Court of Appeals, Ninth Circuit.

Decided September 24, 1990.

Attorney(s) appearing for the Case

David J. Hase, Foley & Lardner, Milwaukee, Wis., for defendant-appellant.

Paul Gonson, S.E.C., Washington, D.C., for plaintiff-appellee.

Before HALL, THOMPSON and LEAVY, Circuit Judges.

CYNTHIA HOLCOMB HALL, Circuit Judge:

In an enforcement action brought by the Securities and Exchange Commission ("SEC"), a jury determined that John Naylor Clark, III ("Clark") violated § 10(b) of the Securities and Exchange Act of 1934, 15 U.S.C. § 78j(b) and Rule 10b-5, 17 C.F.R. § 240.10b-5 by misappropriating and using material nonpublic information regarding his employer's plans to acquire another company. The jury also found that Clark's stockbroker...

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