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Securities and Exchange Commission v. McPhail et al

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Case overview

Case Number:

1:14-cv-12958

Court:

Massachusetts

Nature of Suit:

Securities/Commodities

Judge:

Rya W. Zobel

Government Agencies

  1. October 11, 2017

    SEC Wants Insider Trading Penalty 'With Sobering Message'

    The U.S. Securities and Exchange Commission on Tuesday asked a Massachusetts federal judge to impose a substantial civil penalty against the last remaining member of a "golfing group" accused of cashing in on stock tips, hoping to "send a loud and sobering message to other would-be insider traders."  

  2. June 13, 2017

    Too Late For Last Alleged Insider Trader To Duck SEC Case

    A Massachusetts federal judge refused on Tuesday to end the Securities and Exchange Commission's suit against the last remaining member of a "golfing group" accused of cashing in on stock tips, agreeing with the securities watchdog's argument that the alleged insider trader's dismissal request came almost three years too late.

  3. September 30, 2015

    Golfers Can't Get Newman Mulligan In Insider Trading Case

    A Massachusetts federal judge on Wednesday refused to dismiss a U.S. Securities and Exchange Commission insider trading case against two amateur golfers in light of the Second Circuit's Newman decision, saying the issue had already been resolved in a related criminal case.

  4. September 24, 2015

    SEC Says Newman Doesn't Apply To Golfing Pals' Tipping

    The U.S. Securities and Exchange Commission on Wednesday told a Massachusetts federal judge that the Second Circuit's Newman decision doesn't let a criminal defense attorney and an amateur golfer off the hook for trading on insider information.

  5. September 09, 2015

    Mass. Atty Says Golf Pal's Conviction Shouldn't Give SEC Win

    A Massachusetts criminal defense lawyer who was sentenced to home confinement for trading on inside information from a golf buddy said Wednesday that his tipper's conviction had "little, if any, impact" on a related civil case by the U.S. Securities and Exchange Commission.

  6. May 15, 2015

    Newman Doesn't Doom Insider Trading Suit, SEC Says

    The U.S. Securities and Exchange Commission told a federal judge Thursday that its case against two golfing buddies accused of insider trading has been strengthened by an order that the Second Circuit's landmark Newman decision does not apply in a related criminal proceeding against the men.

  7. October 14, 2014

    SEC Tees Off On 'Golfing Buddies' Insider Trading Defense

    Being someone's golfing buddy rather than their business associate does not shield a person from insider trading laws, U.S. Securities and Exchange Commission attorneys said Sunday, responding to court filings by two Massachusetts men accused of trading on nonpublic information about American Superconductor Corp.

  8. September 29, 2014

    Atty Backs 'Golfing Buds' Defense In Insider Trading Case

    A Massachusetts attorney charged criminally with trading on inside information a golfing buddy allegedly gave to him told a federal judge on Saturday that he seconded his friend's argument that civil claims should be tossed because golfing buddies don't have a fiduciary-like relationship.

  9. September 22, 2014

    BigLaw Atty's Alleged Tipster Tees Up 'Golfing Buds' Defense

    A Massachusetts man charged criminally with relaying inside information among a group of golfing buddies, allegedly including a Holland & Knight LLP tax partner, sought to dismiss civil claims Monday on the grounds that "golfing buddies do not have a fiduciary-like relationship."

  10. July 11, 2014

    Holland & Knight Atty Targeted In SEC Insider Trading Case

    A Holland & Knight LLP tax partner was among seven defendants accused by the U.S. Securities and Exchange Commission on Friday of participating in an insider trading ring, with high-level corporate secrets allegedly exchanged among golfing buddies.

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