Docket Nos. 09-5349-cr(L) 09-5352-cr(con), 10-0036-cr(con), 10-0181-cr(con), 10-0154-cr(con), 10-835(con), 10-2996(con), 10-3091(con), 10-4634-ag(con).

693 F.3d 113 (2012)

UNITED STATES of America, Appellee, v. Kenneth E. MAHAFFY, Jr., Linus N. Nwaigwe, Timothy O'Connell, David G. Ghysels, Keevin H. Leonard, Robert F. Malin, Defendants-Appellants. Kenneth E. Mahaffy, Jr., Petitioner, v. United States Securities and Exchange Commission, Respondent.

United States Court of Appeals, Second Circuit.

Decided: August 2, 2012.

Attorney(s) appearing for the Case

Andrew J. Frisch ( Jeremy B. Sporn , on the briefs), Law Offices of Andrew J. Frisch, New York, NY, for Defendant-Appellant Kenneth E. Mahaffy, Jr.

Donna R. Newman , New York, NY, for Defendant-Appellant Linus N. Nwaigwe.

Yuangchung Lee , Federal Defenders of New York, Inc., for Defendant-Appellant Timothy O'Connell.

Susan Wolfe , Hoffman Pollok, LLP, New York, NY, Matthew Brissenden , Garden City, NY, for Defendant-Appellant David G. Ghysels.

Thomas F.X. Dunn , New York, NY, Mitchell Alan Golub , Golub & Golub, LLP, New York, NY, for Defendant-Appellant Keevin H. Leonard.

Susan G. Kellman , Law Offices of Susan G. Kellman, Brooklyn, NY, ( Marc Fernich , Jonathan Savella , Law Office of Marc Fernich, New York, NY, on the brief), for Defendant-Appellant Robert F. Malin.

James F. McMahon , Assistant United States Attorney ( David C. James , Claire S. Kedeshian , Assistant United States Attorneys, on the brief), for Loretta E. Lynch, United States Attorney, Eastern District of New York, for Appellee United States of America.

Hope H. Augustini , Senior Litigation Counsel ( Mark D. Cahn , General Counsel, Jacob H. Stillman , Solicitor, on the brief), for Appellee Securities and Exchange Commission.

Before: McLAUGHLIN, B.D. PARKER, and WESLEY, Circuit Judges.


This appeal arises from an indictment that charged that traders employed by several brokerage firms conspired with employees of A.B. Watley, a day trading firm, to commit securities fraud by providing confidential information belonging to their employers to Watley. After a first trial in 2007 in the United States District Court for the Eastern District of New York (Glasser, J.)...


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