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MONETTA FINANCIAL SERVICES, INC. v. S.E.C.

No. 03-3073.

390 F.3d 952 (2004)

MONETTA FINANCIAL SERVICES, INC. and Robert S. Bacarella, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Seventh Circuit.

Decided November 30, 2004.

Attorney(s) appearing for the Case

Steven S. Scholes (argued), McDermott, Will & Emery, Chicago, IL, Douglas G. Edelschick, McDermott, Will & Emery, Washington, DC, for Petitioners.

John W. Avery (argued), Securities & Exchange Commission, Office of the General Counsel, Washington, DC, Mary Keefe, Securities and Exchange Commission, Chicago, IL, for Respondent.

Before RIPPLE, KANNE, and WILLIAMS, Circuit Judges.

WILLIAMS, Circuit Judge.

Monetta Financial Services, Inc. ("MFS"), a registered investment adviser, and its president, Robert Bacarella, seek review of a Securities and Exchange Commission ("SEC or Commission") order finding that MFS violated Section 206(2) of the Investment Advisers Act by failing to disclose that it allocated shares of Initial Public Offerings ("IPOs") to certain directors of its mutual fund clients and that Bacarella aided and abetted in the violation...

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