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U.S. S.E.C. v. GINSBURG

No. 03-10848.

362 F.3d 1292 (2004)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Scott K. GINSBURG, Defendant-Appellee.

United States Court of Appeals, Eleventh Circuit.

March 19, 2004.

Attorney(s) appearing for the Case

John W. Avery, Eric Summergrad, Randall W. Quinnn, SEC, Washington, DC, for Plaintiff-Appellant.

DeMaurice Fitzgerald Smith, David Aaron Becker, Justin R. Rhoades, Everett C. Johnson, Jr., Washington, DC, for Defendant-Appellee.

Before EDMONDSON, Chief Judge, and CARNES and DUHÉ, Circuit Judges.

CARNES, Circuit Judge:

The SEC brought a civil action against Scott Ginsburg alleging violations of § 10(b) and § 14(e) of the Securities and Exchange Act, 15 U.S.C. §§ 78j(b), 78n(e), and accompanying Rules 10b-5 and 14e-3, 17 C.F.R. §§ 240.10b-5, 240.14e-3. The allegations were that Ginsburg had communicated material nonpublic information to his brother Mark Ginsburg and to his father Jordan Ginsburg regarding EZ Communications, Inc...

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