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S.E.C. v. BERGER

Docket No. 01-6254.

322 F.3d 187 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Michael W. BERGER, Defendant-Appellant, Manhattan Investment Fund Ltd. and Manhattan Capital Management, Inc., Defendants.

United States Court of Appeals, Second Circuit.

Decided: February 27, 2003.

Attorney(s) appearing for the Case

Darren T. Kaplan (Donald Joseph Cayea, on the brief), Brand, Cayea & Brand, LLC, New York, NY, for Defendant-Appellant.

Eric Summergrad, Deputy Solicitor (Giovanni P. Prezioso, General Counsel, and Leslie E. Smith, Senior Litigation Counsel, on the brief), Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellee.

Before: VAN GRAAFEILAND, JACOBS and CABRANES, Circuit Judges.

JOSÉ A. CABRANES, Circuit Judge.

The Securities and Exchange Commission ("SEC") filed this action against Michael W. Berger in the United States District Court for the Southern District of New York, alleging that Berger violated numerous anti-fraud provisions of the federal securities laws. The District Court (Denise Cote, Judge) granted summary judgment in favor of the SEC. On appeal, Berger challenges only the District Court's ruling that it had subject...

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