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S.E.C. v. ADLER

No. 96-6084.

137 F.3d 1325 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Counter-Defendant-Appellant, v. Richard F. ADLER, Defendant-Appellee, Phillip L. Choy, Magatronic Trading, Limited, Domer L. Ishler, Defendants-Counter-Claimants-Appellees, Harvey L. Pegram, Defendant-Appellee.

United States Court of Appeals, Eleventh Circuit.

March 27, 1998.

Attorney(s) appearing for the Case

Lucinda McConathy, Christopher Paik, Paul Gonson, SEC, Washington, DC, for SEC.

J. Vernon Patrick, Jr., Alexander S. Lacy, William Marsh Acker, III, Elizabeth N. Pitman, David M. Overstreet, Patrick & Lacy, P.C., Birmingham, AL, for Pegram.

Ronald O. Gaiser, Jr., Gaiser & Associates, Birmingham, AL, for Adler and Choy.

Before ANDERSON and COX, Circuit Judges, and ALARCON, Senior Circuit Judge.

ANDERSON, Circuit Judge:

In this case, the appellant Securities and Exchange Commission ("SEC") brought a civil action against appellees Harvey L. Pegram, Richard F. Adler, Philip L. Choy, Magatronic Trading Limited,1 and Domer L. Ishler, alleging violations of § 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b); SEC Rule 10b-5, 17 C.F.R. § 240.10b-5; and § 17(a) of the Securities Act of 1933, 15 U.S...

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