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TILTON v. S.E.C.

Docket No. 15-2103 August Term, 2015.

824 F.3d 276 (2016)

Lynn TILTON, Patriarch Partners, LLC, Patriarch Partners VIII, LLC, Patriarch Partners XIV, LLC, and Patriarch Partners XV, LLC, Plaintiffs-Appellants, v. SECURITIES AND EXCHANGE COMMISSION, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided: June 1, 2016.

Attorney(s) appearing for the Case

David M. Zornow , Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY ( Christopher J. Gunther , on the brief), for Plaintiffs-Appellants.

Susan E. Brune (on the brief), Brune & Richard LLP, New York, NY, for Plaintiffs-Appellants.

Mark B. Stern , Appellate Staff Attorney ( Mark R. Freeman and Megan Barbero , Appellate Staff Attorneys, on the brief), for Benjamin C. Mizer , Principal Deputy Assistant Attorney General, and Beth S. Brinkmann , Deputy Assistant Attorney General, United States Department of Justice, Washington, DC, for Defendant-Appellee.

Jeannette A. Vargas (on the brief), for Preet Bharara , United States Attorney for the Southern District of New York, for Defendant-Appellee.

Judge DRONEY dissents in a separate opinion.

The Securities and Exchange Commission (the "SEC" or the "Commission") enforces the federal securities laws by, among other things, filing actions seeking monetary penalties against alleged transgressors. Under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), Pub. L. No. 111-203,124...

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