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S.E.C. v. WARDE

No. 97-6190.

151 F.3d 42 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Thomas WARDE, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided July 8, 1998.

Attorney(s) appearing for the Case

Katharine B. Gresham, Washington, D.C. (Richard H. Walker, General Counsel, Jacob H. Stillman, Catherine A. Broderick and Rada L. Potts, Assistant General Counsels, and Paul Gonson, Solicitor, Securities and Exchange Commission, Washington, D.C., Of Counsel) for Plaintiff-Appellee.

Thomas P. Puccio, New York City (Paul F. Corcoran, Jennifer Tafet Klausner and Andrew D. Herz, Davis & Gilbert, New York City, Of Counsel), for Defendant-Appellant.

Before: JACOBS, LEVAL and GIBSON, Circuit Judges.

LEVAL, Circuit Judge:

Thomas Warde appeals from a final judgment of the United States District Court for the Southern District of New York (Shira Scheindlin, District Judge) holding him liable, in a civil enforcement proceeding, for violating §§ 10(b) and 14(e) of the Securities and Exchange Act of 1934 (the "1934 Act"), 15 U.S.C. §§ 78j(b) and 78n(e), and Rules 10b-5 and 14e-3 promulgated thereunder. ...

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