1. Home
  2. Browse Decisions
  3. F.3d
  4. 428 F.3d
  5. 428 F.3d 1088 (2005)
 

ROCKIES FUND, INC. v. S.E.C.

No. 04-1255.

428 F.3d 1088 (2005)

ROCKIES FUND, INC., et al., Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided November 15, 2005.

Attorney(s) appearing for the Case

Edward J. Meehan argued the cause for petitioners The Rockies Fund, Inc., et al. With him on the briefs was David E. Carney.

David A. Zisser argued the cause and filed the briefs for petitioner John C. Power.

Leslie E. Smith, Senior Litigation Counsel, Securities & Exchange Commission, argued the cause for respondent. With her on the brief were Giovanni P. Prezioso, General Counsel, and Eric Summergrad, Deputy Solicitor.

Before: SENTELLE and RANDOLPH, Circuit Judges, and WILLIAMS, Senior Circuit Judge.

Opinion for the Court filed by Circuit Judge SENTELLE.

SENTELLE, Circuit Judge.

The Rockies Fund and directors Stephen Calandrella, Charles Powell, and Clifford Thygesen (collectively, "Rockies Fund petitioners") along with John Power petition for review of an order of the Securities and Exchange Commission ("SEC" or "Commission") sanctioning them for various violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, among other provisions...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases