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U.S. S.E.C. v. NOTHERN

Civil Action No. 05-10983-NMG.

598 F.Supp.2d 167 (2009)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Steven E. NOTHERN, Defendant.

United States District Court, D. Massachusetts.

February 20, 2009.

Attorney(s) appearing for the Case

John J. Rossetti, Jr., Erica Y. Williams, Sarah L. Levine, Securities and Exchange Commission, Washington, DC, Boston, MA, for Plaintiff.

John A. Shope, Nicholas C. Theodorou, Robert E. Toone, Jr., Foley Hoag LLP, Boston, MA, for Defendant.

MEMORANDUM & ORDER

GORTON, District Judge.

In this case, the United States Securities and Exchange Commission ("SEC") alleges that the defendant, Steven E. Nothern ("Nothern"), obtained material, nonpublic information from consultant Peter J. Davis ("Davis") and used that information for profit, commonly described as insider trading, in violation of 15 U.S.C. §§ 78j(b) (Section 10(b) of the Securities Exchange Act of 1934) and 17 C.F.R. §...

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