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S.E.C. v. HAPP

Nos. 04-1406, 04-1461.

392 F.3d 12 (2004)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, Appellee/Cross-Appellant, v. Robert D. HAPP, Defendant, Appellant/Cross-Appellee.

United States Court of Appeals, First Circuit.

Decided December 10, 2004.

Attorney(s) appearing for the Case

Peter M. Casey with whom Stephen C. Warneck, Foley Hoag LLP, Gary C. Crossen and Rubin & Rudman LLP were on brief for appellant, cross-appellee.

Thomas Karr, Special Trial Counsel, Securities and Exchange Commission, with whom Eric Summergrad, Deputy Solicitor, Giovanni P. Prezioso, General Counsel, Melinda Hardy, Assistant General Counsel, and Laura Walker, Senior Counsel, were on brief for appellee, cross-appellant.

Before TORRUELLA, Circuit Judge, CAMPBELL, Senior Circuit Judge, and HOWARD, Circuit Judge.

CAMPBELL, Senior Circuit Judge.

The Securities and Exchange Commission (SEC) brought a civil enforcement action in the district court against Robert D. Happ. After a jury trial, the jury returned a special verdict against Happ, finding that he had traded on material, nonpublic information in violation of the federal securities laws. Happ appeals from the district court's denial of his motion for judgment as a matter of law, or in the alternative, for a new trial....

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