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S.E.C. v. SHANAHAN

No. 10-1820.

646 F.3d 536 (2011)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Michael F. SHANAHAN Jr., Defendant-Appellee.

United States Court of Appeals, Eighth Circuit.

Filed: July 19, 2011.

Attorney(s) appearing for the Case

Dominick W. Freda , Senior Counsel, Securities & Exch. Comm'n, Washington, DC, argued ( David M. Becker , Gen. Counsel, Mark D. Cahn , Dep. Gen. Counsel, Michael A. Conley , Dep. Solicitor, on the brief), for appellant.

Stuart L. Gasner , Keker & Van Nest LLP, San Francisco, CA, argued ( James G. Martin , Armstrong Teasdale LLP, St. Louis, MO, on the brief), for appellee.

Before WOLLMAN, LOKEN, and SMITH, Circuit Judges.

LOKEN, Circuit Judge.

The Securities and Exchange Commission (SEC) brought this civil action against Michael Shanahan Jr., alleging that, as an outside director of Engineered Support Systems, Inc. ("ESSI"), he violated numerous federal securities laws by participating in the grant of backdated, "in-the-money" stock options to ESSI officials including his father, CEO Michael Shanahan Sr. At the close of the SEC's case in chief after eight-and-one-half days of trial...

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