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S.E.C. v. BAUER

No. 12-2860.

723 F.3d 758 (2013)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Jilaine H. BAUER, Defendant-Appellant.

United States Court of Appeals, Seventh Circuit.

Decided July 22, 2013.

Attorney(s) appearing for the Case

Allan A. Capute , Stephen G. Yoder (argued), Attorneys, Securities and Exchange Commission, Office of the General Counsel, Washington, DC, Charles J. Kerstetter , Attorney, Securities and Exchange Commission, Chicago, IL, for Plaintiff-Appellee.

Ryan S. Stippich , Attorney, Reinhart Boerner Van Deuren S.C., Milwaukee, WI, Stephen J. Crimmins , Attorney, K & L Gates LLP, Washington, DC, for Defendant-Appellant.

Before RIPPLE and TINDER, Circuit Judges, and ZAGEL, District Judge.

ZAGEL, District Judge.

The Securities and Exchange Commission ("SEC" or the "Commission") charged Jilaine H. Bauer ("Bauer") with insider trading in connection with a mutual fund redemption she made in October of 2000. The district court for the Eastern District of Wisconsin (the "district court") granted summary judgment to the SEC and Bauer appealed. This case is unusual — it is one of few instances in which the SEC has brought insider trading claims in connection...

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