Susan M. Greenwood | Bloomberg Law VanCook v. SEC, No. 10-00031, 2011 BL 205289 (2d Cir. Aug. 8, 2011) The U.S. Court of Appeals for the Second Circuit denied John Joseph VanCook's petition for review of a Securities and Exchange Commission (SEC) order upholding an administrative law judge's (ALJ) findings that he violated Sections 10(b) and 17(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 17a-3(a)(6) thereunder. The Court further affirmed the imposition of sanctions.
Orchestrating a Late Trading Scheme
No Due Process Violations
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