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  5. 295 F.Supp.2d 189 (2003)
 

S.E.C. v. HAPP

No. CIV.A. 00-12051-REK.

295 F.Supp.2d 189 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff v. Robert D. HAPP, Defendant

United States District Court, D. Massachusetts.

November 25, 2003.

Attorney(s) appearing for the Case

Gregory S. Gilman, John T. Dugan, Kimberly M. Zimmer, Madeleine McGrath Blake, Martin F. Healey, Sandra J. Bailey, Securities and Exchange Commission, Boston, MA, for Securities and Exchange Commission.

Gary C. Crossen, Rubin & Rudman LLP, Peter M. Casey, Stephen C. Wameck, Foley Hoag LLP, Boston, MA, for Robert D. Happ.

Opinion

KEETON, Senior District Judge.

I. Introduction

This is a civil enforcement proceeding brought by the Securities and Exchange Commission (SEC) against Robert D. Happ. After extensive pretrial proceedings, the case proceeded to jury trial and a special verdict in the form of answers to questions under Rule 49(a) of the Federal Rules of Civil Procedure. After post-verdict motions, filed submissions, and oral argument on October 29, 2003, the...

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