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S.E.C. v. GANN

No. 08-10404.

565 F.3d 932 (2009)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Scott B. GANN, Defendant-Appellant.

United States Court of Appeals, Fifth Circuit.

April 17, 2009.

Attorney(s) appearing for the Case

Dominick V. Freda (argued), John W. Avery, U.S. SEC, Washington, DC, for SEC.

Jason Lance Wren (argued), Gregory Richardson Ave, Walters, Balido & Crain, Dallas, TX, for Gann.

Before JONES, Chief Judge, and WIENER and STEWART, Circuit Judges.

WIENER, Circuit Judge:

This civil enforcement action against Defendant-Appellant Scott B. Gann ("Gann"), a stockbroker, arose out of Gann's market-timing trades placed on behalf of a client. The Securities and Exchange Commission (the "SEC") alleged that Gann violated Section 10(b) ("Section 10(b)") of the Securities Exchange Act of 1934 and Rule 10b-5 ("Rule 10b-5") promulgated thereunder by conducting short-term trades in a number of mutual funds. Gann claimed that...

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