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S.E.C. v. MORGAN KEEGAN & CO., INC.

No. 11-13992.

678 F.3d 1233 (2012)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. MORGAN KEEGAN & COMPANY, INC., Defendant-Appellee.

United States Court of Appeals, Eleventh Circuit.

May 2, 2012.

Attorney(s) appearing for the Case

Tracey Hardin , U.S. Securities & Exchange Commission, Office of the General Counsel, Washington, DC, Robert K. Gordon , William P. Hicks , Madison Graham Loomis , James Alexander Rue , U.S. Securities & Exchange Commission, Atlanta, GA, for Plaintiff-Appellant.

Amelia Toy Rudolph , Peter J. Anderson , Aaron S. Furniss , Yvonne M. Williams , Sutherland Asbill & Brennan, LLP, Atlanta, GA, Michele A. Coffey , John Shin , Morgan Lewis & Bockius, LLP, New York City, for Defendant-Appellee.

Before BARKETT and HULL, Circuit Judges, and HINKLE, District Judge.

PER CURIAM:

In this civil enforcement action, the Securities and Exchange Commission ("SEC") sued Defendant Morgan Keegan & Co. ("Morgan Keegan") for violating §§ 10(b) and 15(c)(1) of the Exchange Act, § 17(a) of the Securities Act, and SEC Rule 10b-5. The SEC alleges that, in the critical time period of late 2007 and early 2008, Morgan Keegan's brokers (1) misrepresented that auction rate securities ("ARS") were safe cash-equivalents with no liquidity...

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