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SEC v. ZANDFORD

No. 01-147.

535 U.S. 813 (2002)

122 S.Ct. 1899

153 L.Ed.2d 1

SECURITIES AND EXCHANGE COMMISSION v. ZANDFORD

Supreme Court of United States.

Decided June 3, 2002.

Attorney(s) appearing for the Case

Matthew D. Roberts argued the cause for petitioner. With him on the briefs were Acting Solicitor General Clement, Deputy Solicitor General Kneedler, David M. Becker, Jacob H. Stillman, Richard M. Humes, Katharine B. Gresham, and Susan S. McDonald.

Steven H. Goldblatt argued the cause for respondent. With him on the brief was Roy T. Englert, Jr.*

Justice Stevens, delivered the opinion of the Court.

The Securities and Exchange Commission (SEC) filed a civil complaint alleging that a stockbroker violated both § 10(b) of the Securities Exchange Act of 1934, 48 Stat. 891, as amended, 15 U. S. C. § 78j(b), and the SEC's Rule 10b-5, by selling his customer's securities and using the proceeds for his own benefit without the customer's knowledge or consent. The...

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