VanCook v. Securities & Exchange Commission

How courts have described this case

Verbatim parenthetical descriptions written by other courts when citing this decision. Ranked by citation-network relevance.

• finding scheme liability where defendant was not “merely associated with the late-trading scheme ..he was its architect.... [He] was intimately involved with the creation, marketing, and implementation of the system”
• affirming sanctions, including associational bar, imposed by the SEC for Exchange Act violations of aiding and abetting failure to keep accurate books and records, among others
• “We have no trouble concluding that VanCook’s late-trading scheme constituted a ‘device, scheme, or artifice to defraud,’ in violation of subsec tion (a
• finding scheme liability, in part, for “false assurances”
• finding “architect” of trading scheme violated scheme provisions
• enforcement action for violation of Section 17(a)

Source: CourtListener parenthetical corpus (CC0).