• U.S. Court of Appeals, Second Circuit
  • 11-696-cv
  • Before: Winter, Raggi, C.JJ., and Rakoff, D.J.*
  • For Plaintiff: For Plaintiff-Appellant: John W. Avery, Senior Litigation Counsel (Mark D. Cahn, General Counsel, Anne K. Small, Deputy General Counsel, Jacob H. Stillman, Solicitor, on the brief), United States Securities and Exchange Commission.
  • For Defendant: For Defendant-Appellee: Seth Taube (Aaron M. Street, Mauren P. Reid, on the brief) Baker Botts LLP.
'Substantial Assistance' Clarified on Liability in Civil Securities Cases