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S.E.C. v. OBUS

Docket No. 10-4749-cv.

693 F.3d 276 (2012)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Nelson J. OBUS, Peter F. Black, Thomas Bradley Strickland, Defendants-Appellees, Wynnefield Partners Small Cap Value L.P., Wynnefield Partners Small Cap Value L.P. I, Wynnefield Partners Small Cap Value Offshore Fund, Ltd., Relief Defendants.

United States Court of Appeals, Second Circuit.

Decided: September 6, 2012.

Attorney(s) appearing for the Case

David Lisitza ( Mark D. Cahn , Michael A. Conley , Mark Pennington , on the brief), Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellant.

Joel M. Cohen , Gibson Dunn & Crutcher LLP, New York, N.Y. ( Mary Kay Dunning , Christopher Muller , Gibson, Dunn & Crutcher LLP, New York, NY, David Debold , Gibson, Dunn & Crutcher LLP, Washington, DC, on the brief), for Defendant-Appellee Nelson Obus.

Mark S. Cohen , Sandra C. McCallion , Jonathan S. Abernethy , Cohen & Gresser LLP, New York, NY, for Defendant-Appellee Peter F. Black.

Roland G. Riopelle , Sercarz & Riopelle, LLP, New York, NY, for Defendant-Appellee Thomas Bradley Strickland.

Before: WALKER, RAGGI and CARNEY, Circuit Judges.

JOHN M. WALKER, JR., Circuit Judge:

The Securities and Exchange Commission ("SEC") filed this civil enforcement action against defendants Nelson J. Obus, Peter F. Black, and Thomas Bradley Strickland alleging insider trading in violation of section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and Rule 10b-5, 17 C.F.R. § 240.10b-5. The SEC alleges that Strickland learned material non-public information in the course of his employment...

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