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In the Matter of John P. Flannery and James D. Hopkins

2014 WL 7145625 (2014)

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In the Matter of John P. Flannery and James D. Hopkins

Securities and Exchange Commission
2014 WL 7145625 (2014)

  • Written by Robert Cane, JD

Facts

John Flannery and James Hopkins (defendants) were officers of State Street Bank and Trust Company as well as State Street Global Advisors (collectively, State Street). Flannery and Hopkins both drafted letters and provided communications to investors regarding investments with State Street. According to Securities and Exchange Commission (SEC) allegations, Flannery and Hopkins engaged in conduct that deceived investors in investment funds offered by State Street during the subprime meltdown of 2007. The SEC’s Division of Enforcement alleged that the misconduct of Flannery and Hopkins violated § 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5(a) and (c). The SEC held an enforcement proceeding to determine whether Flannery and Hopkins were liable for the alleged violations.

Rule of Law

Issue

Holding and Reasoning ()

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