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S.E.C. v. FICKEN

No. 07-2532.

546 F.3d 45 (2008)

SECURITIES & EXCHANGE COMMISSION, Plaintiff-Appellee, v. Justin F. FICKEN, Defendant-Appellant, and Martin J. Druffner, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon, Defendants.

United States Court of Appeals, First Circuit.

Decided October 20, 2008.

Attorney(s) appearing for the Case

Dominick V. Freda, with whom Jacob H. Stillman and John W. Avery were on brief, for plaintiff-appellee.

Gary G. Pelletier, for defendant-appellant.

Before BOUDIN and DYK, Circuit Judges, and DOMÍNGUEZ, District Judge.

DYK, Circuit Judge.

The Securities and Exchange Commission ("SEC") filed a civil complaint against defendant-appellant Justin F. Ficken ("Ficken") and others in the United States District Court for the District of Massachusetts, alleging violations of 15 U.S.C. § 77q(a), 15 U.S.C. § 78j(b), and 17 C.F.R. § 240.10b-5. The SEC alleged that Ficken intentionally concealed his identity and the identities of his clients while trading shares of mutual funds...

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