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S.E.C. v. TEO

No. 12-1168.

746 F.3d 90 (2014)

SECURITIES AND EXCHANGE COMMISSION v. Alfred S. TEO, Sr.; Teren Seto Handelman; Maaa Trust, FBO Mark, Andrew, Alan and Alfred Teo, Jr.; John D. Reier; Charles D. Fortune; Jerrold J. Johnston; Mark J. Lauzon; Philip Sacks; Mitchell L. Sacks; Richarda. Herron; Lawrence L. Rosen; David M. Ross; James M. Ruffolo Alfred S. Teo, Sr. and MAAA Trust, Appellants.

United States Court of Appeals, Third Circuit.

Filed: February 10, 2014.

Attorney(s) appearing for the Case

Eric O. Corngold, Esq. , Mary E. Mulligan, Esq. , Friedman Kaplan Seiler & Adelman, New York, NY, Cheryl A. Krause, Esq. [argued], Dechert, Philadelphia, PA, for Appellants Alfred S. Teo, Sr. and MAAA Trust.

David Lisitza, Esq. [argued], Securities & Exchange Commission, Washington, DC, for Appellee.

BEFORE: SLOVITER, JORDAN, and NYGAARD, Circuit Judges.

OPINION OF THE COURT

NYGAARD, Circuit Judge.

A jury concluded that defendants Alfred Teo and MAAA Trust were liable for violating (inter alia) the Securities Exchange Act of 1934, Sections 13(d) and 10(b) (15 U.S.C. § 78m(d) and § 78j(b)). The District Court subsequently denied the Defendants' motions for judgment as a matter of law and for a new trial. It also ordered (inter alia) the Defendants to disgorge over $17 million, plus prejudgment interest...

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