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S.E.C. v. GABELLI

Docket Nos. 10-3581-cv(L), 10-3628-cv(XAP), 10-3760-cv(XAP).

653 F.3d 49 (2011)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant/Cross-Appellee, v. Marc J. GABELLI and Bruce Alpert, Defendants-Appellees/Cross-Appellants.

United States Court of Appeals, Second Circuit.

Decided: August 1, 2011.

Attorney(s) appearing for the Case

Dominick V. Freda ( Jacob H. Stillman , Hope Hall Augustini , on the brief), Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellant.

Lewis J. Liman ( Kimberly C. Spiering , Katherine L. Wilson-Milne , David R. Lurie , on the brief), Cleary Gottlieb Steen & Hamilton LLP, New York, NY, for Defendant-Appellee Gabelli.

Kathleen N. Massey ( Edward A. McDonald , Joshua I. Sherman , on the brief), Dechert LLP, New York, NY, for Defendant-Appellee Alpert.

Before: LIVINGSTON and CHIN, Circuit Judges, and RAKOFF, District Judge.

RAKOFF, District Judge.

Plaintiff-appellant the Securities and Exchange Commission ("SEC") appeals from a judgment entered August 17, 2010, dismissing the SEC's complaint against Marc J. Gabelli, the portfolio manager of the mutual fund Gabelli Global Growth Fund ("GGGF" or the "Fund"), and Bruce Alpert, the chief operating officer for the Fund's adviser, Gabelli Funds, LLC ("Gabelli Funds" or the "Adviser"). For the following reasons, we REVERSE the District Court...

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