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S.E.C. v. GINDER

Docket No. 13-1116.

752 F.3d 569 (2014)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee, v. Jason N. GINDER, Michael L. Silver, Brian P. Corbett, Defendants, and Frederick O'Meally, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided: May 19, 2014.

Attorney(s) appearing for the Case

Andrew J. Frisch ( Jeremy B. Sporn and Amanda L. Bassen , on the brief), The Law Offices of Andrew J. Frisch, New York, NY, ( Jonathan A. Harris , Harris, O'Brien, St. Laurent & Houghteling LLP, New York, NY, on the brief), for Appellant.

Jeffrey A. Berger ( Michael A. Conley and Jacob H. Stillman , on the brief), on behalf of Anne K. Small , General Counsel, Securities and Exchange Commission, Washington, D.C., for Appellee.

Before: JACOBS, CALABRESI and POOLER, Circuit Judges.

DENNIS JACOBS, Circuit Judge:

Frederick O'Meally, a broker, traded on his clients' behalf using a mutual-fund trading strategy known as market timing. While market timing is legal, doing it in a deceptive manner (like anything else in securities trading) is not. And many mutual funds have policies that forbid or discourage it. In this civil enforcement action, the Securities and Exchange Commission ("SEC") alleged deceptive conduct by O'Meally with respect to trading...

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