Open Meeting Agenda
|Item 1:||Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles|
Office: Office of the General Counsel
Staff: Joan L. Loizeaux, Kermit B. Kennedy, Jodie Dalton Turcotte, Lisa N. Larkin
The Commission will hear oral argument in an appeal by Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles from the decision of an administrative law judge. The law judge found that Bridge, a registered representative formerly associated with A.G. Edwards, and Charles Sacco, another former A.G. Edwards registered representative who settled a related Commission proceeding against him, willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5 by taking action to "continue market timing after they had been restricted from doing so" by registered investment companies. The law judge further found that Edge, Bridge's supervisor, failed reasonably to supervise Bridge with a view to preventing his antifraud violations, and that Robles, Sacco's supervisor, failed reasonably to supervise Sacco.
For further information, please contact the Office of the Secretary at (202) 551-5400.
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