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: Securities Law Prof Blog

Fifth Circuit Affirms Rule 10b-5 Judgment Against Market-Timing Broker

By Securites Lawprof

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In SEC v. Gann (5th Cir. 4/17/09), the Fifth Circuit affirmed a district court's judgment that a broker that facilitated his customers' market-timing activities violated Rule 10b-5, although its affirmance seemed somewhat begrudging. In a seven-month period, the broker concluded...

Full post as published by Securities Law Prof Blog on April 25, 2009 (boomark / email).

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