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S.E.C. v. FOWLER

Docket No. 20-1081-cv. August Term, 2020.

6 F.4th 255 (2021)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Donald J. FOWLER, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided: July 22, 2021.

Attorney(s) appearing for the Case

John Dellaportas , Beth Claire Khinchuck , Emmet, Marvin & Martin, LLP, New York, NY, for Defendant-Appellant Donald J. Fowler.

Rachel M. McKenzie , Senior Counsel, Dominick V. Freda , Assistant General Counsel, Michael A. Conley , Solicitor, Robert B. Stebbins , General Counsel, Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellee Securities and Exchange Commission.

Before: LOHIER and NARDINI, Circuit Judges, and CRONAN, Judge.

The principal questions presented on appeal are (1) whether 28 U.S.C. § 2462, which imposes a five-year statute of limitations on Securities and Exchange Commission (SEC) enforcement actions for civil penalties, is jurisdictional and not subject to tolling by the parties; (2) whether excessive trading in customer accounts...

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