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VANCOOK v. S.E.C.

Docket No. 10-0031-ag.

653 F.3d 130 (2011)

John Joseph VANCOOK, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided: August 8, 2011.

Attorney(s) appearing for the Case

Michael J. Sullivan , Coughlin Duffy LLP, Morristown, NJ ( Mark K. Silver , Coughlin Duffy LLP, Morristown, NJ; Lewis D. Lowenfels , Tolins & Lowenfels, New York, NY, on the brief), for Petitioner.

Susan S. McDonald , Senior Litigation Counsel ( David M. Becker , General Counsel; Mark D. Cahn , Deputy General Counsel; Jacob H. Stillman , Solicitor, on the brief), Securities and Exchange Commission, Washington, DC, for Respondent.

Before: POOLER, SACK, and LYNCH, Circuit Judges.

GERARD E. LYNCH, Circuit Judge:

Petitioner John Joseph VanCook, a former stockbroker, seeks review of an order of the Securities and Exchange Commission ("SEC" or "Commission"), which found that he willfully violated the antifraud provisions of the Securities Exchange Act of 1934 ("Exchange Act"), see 15 U.S.C. § 78j(b), 17 C.F.R. § 240.10b-5, by orchestrating a scheme that allowed certain customers to engage in late trading of mutual funds, and that...

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