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SECURITIES AND EXCHANGE COMMISSION v. TAMBONE

No. 07-1384.

573 F.3d 54 (2009)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Appellant, v. James TAMBONE; Robert Hussey, Defendants, Appellees.

United States Court of Appeals, First Circuit.

July 22, 2009.

Attorney(s) appearing for the Case

Luke T. Cadigan, David H. London, Celia Delano Moore, U.S. Securities & Exchange Commission, Boston, MA, John W. Avery, U.S. Securities & Exchange Commission, Washington, DC, for Plaintiff, Appellant.

Paula J. Degiacomo, Jennifer Martin Foster, A. John Pappalardo, Esq., John A. Sten, David G. Thomas, Greenberg Traurig, LLP, Boston, MA, Elliot H. Scherker, Miami, FL, John J. Commisso, Frank Albert Libby, Kelly, Libby & Hoopes, PC, Boston, MA, Warren L. Feldman, Skadden Arps Slate Meagher & Flom LLP, New York, NY, Christopher M. Joralemon, Clifford Chance U.S. LLP, New York, NY, for Defendants, Appellees.

Before LYNCH, Chief Judge, TORRUELLA, BOUDIN, LIPEZ and HOWARD, Circuit Judges.

ORDER OF COURT

Defendants James Tambone and Robert Hussey filed petitions for en banc review. The petitions challenged the panel's ruling on the issue of primary liability under Rule 10b-5(b), which was based on an implied statement theory; they also challenged the panel's ruling on the Section 17(a)(2) claim. Tambone further argued that the panel's decision on the issue of aiding and abetting liability was erroneous because it depended on the panel's Rule 10b-5...

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