S.E.C. v. U.S. ENVIRONMENTAL, INC.

Docket No. 97-6195.

155 F.3d 107 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. U.S. ENVIRONMENTAL, INC.; Louis J. Sepe; Maria Sepe; Castle Securities Corp.; Michael T. Struder; Leslie S. Roth; and Dudley Mihran Freeland, Defendants, John Romano, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided August 25, 1998.


Attorney(s) appearing for the Case

Richard H. Walker, General Counsel (Jacob H. Stillman, Associate General Counsel, Lucinda O. McConathy, Assistant General Counsel, Christopher Paik, Senior Counsel, Paul Gonson, Solicitor, Securities and Exchange Commission, Washington, DC, on the brief), for Plaintiff-Appellant.

Ronald E. DePetris, DePetris & Bachrach, New York City, for Defendant-Appellee.

Before: WALKER, CALABRESI, Circuit Judges, and RESTANI, Judge.


JOHN M. WALKER, Jr., Circuit Judge:

Plaintiff-appellant Securities and Exchange Commission ("SEC") appeals from the June 18, 1996 order of the United States District Court for the Southern District of New York (Peter K. Leisure, District Judge) dismissing, pursuant to Fed.R.Civ.P. 12(b)(6), the SEC's claim that defendant-appellee John Romano engaged in market manipulation in violation of Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. §...

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