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S.E.C. v. PENTAGON CAPITAL MANAGEMENT PLC

Docket No. 12-1680-cv.

725 F.3d 279 (2013)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. PENTAGON CAPITAL MANAGEMENT PLC, Lewis Chester, Defendants-Appellants, Pentagon Special Purpose Fund, Ltd., Relief Defendant.

United States Court of Appeals, Second Circuit.

Decided: August 8, 2013.

Attorney(s) appearing for the Case

Benjamin L. Schiffrin ( Michael A. Conley , John W. Avery , Susan S. McDonald , David Lisitza , on the brief), Securities and Exchange Commission, Washington, DC, for Appellee.

Frank C. Razzano ( Ivan B. Knauer , Matthew D. Foster , John C. Snodgrass , on the brief), Pepper Hamilton LLP, Washington, DC, for Defendants-Appellants.

Before: WALKER and CHIN, Circuit Judges, and RESTANI, Judge.

JOHN M. WALKER, JR., Circuit Judge:

Defendants-Appellants Pentagon Capital Management and Lewis Chester appeal from a judgment of the United States District Court for the Southern District of New York (Sweet, Judge). After a bench trial, the district court found the defendants liable for securities fraud under Section 17(a) of the Securities Act of 1933 (the "Securities Act"), Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), and Rule...

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