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S.E.C. v. APUZZO

Docket No. 11-696-cv.

689 F.3d 204 (2012)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Joseph F. APUZZO, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided: August 8, 2012.

Attorney(s) appearing for the Case

John W. Avery , Senior Litigation Counsel ( Mark D. Cahn , General Counsel, Anne K. Small , Deputy General Counsel, Jacob H. Stillman , Solicitor, on the brief), United States Securities and Exchange Commission, for Plaintiff-Appellant.

Seth Taube ( Aaron M. Street , Mauren P. Reid , on the brief) Baker Botts LLP, for Defendant-Appellee.

Before: WINTER, RAGGI, Circuit Judges, and RAKOFF, District Judge.

RAKOFF, District Judge:

The Securities and Exchange Commission ("SEC") alleges that defendant Joseph Apuzzo aided and abetted securities laws violations through his role in a fraudulent accounting scheme. In order for a defendant to be liable as an aider and abettor in a civil enforcement action, the SEC must prove: "(1) the existence of a securities law violation by the primary (as opposed to the aiding and abetting) party; (2) `knowledge' of this violation on the...

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