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MORALES v. QUINTEL ENTERTAINMENT, INC.

No. 99-9374.

249 F.3d 115 (2001)

Richard MORALES, Plaintiff-Appellant, v. QUINTEL ENTERTAINMENT, INC. and Peter Stolz, Defendants-Appellees.

United States Court of Appeals, Second Circuit. August Term, 2000.

Decided May 2, 2001.

Attorney(s) appearing for the Case

DAVID LOPEZ, Southampton, NY, (Albert D. Barnes, Southampton, NY, of counsel), for Plaintiff-Appellant.

BRUCE E. CLARK, New York, NY, (Mark E. Coyne, Sullivan & Cromwell, New York, NY, of counsel), for Defendant-Appellee Peter Stolz.

Allan A. Capute, Washington, DC, (David M. Becker, Eric Summergrad, Meyer Eisenberg, Securities and Exchange Commission, Washington, DC, of counsel), filed a brief for the Securities and Exchange Commission, Amicus Curiae, in support of appellant.

Before: CARDAMONE, JACOBS, and SACK, Circuit Judges.

CARDAMONE, Circuit Judge:

This appeal presents important issues relating to "short-swing" trading under § 16(b) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78p(b) (1994).1 Because defendant Peter Stolz concededly does not own in his name ten percent or more of the stock in which he, as an insider, is alleged to have traded, our discussion necessarily focuses on whether defendant owns ten percent as a "beneficial...

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