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S.E.C. v. HICKEY

Nos. 01-17027, 01-17214.

322 F.3d 1123 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. John A. HICKEY, Defendant-Appellant, and Mamie Tang, Continental Capital Financial Group, Inc.; Continental Capital Income Fund II; JM Regional, Inc.; Continental Capital Properties I, Inc.; Continental Capital Securities Group, Inc.; Continental Capital Investments, Inc.; Continental Capital Employees, Inc.; Continental Capital Secured Principal with Income Fund I; Continental Capital Private Equity Fund I; D.E. Frey & Company, Inc., Defendants. Securities and Exchange Commission, Plaintiff-Appellee, v. John A. Hickey, Defendant, and John Hickey Brokerage, Third-Party Appellant.

United States Court of Appeals, Ninth Circuit.

Filed March 7, 2003.

Attorney(s) appearing for the Case

David J. Cohen, Cohen & Paik, San Francisco, CA, for defendant-appellant, John A. Hickey.

Curtis F. Dowling, Dillingham & Murphy LLP, San Francisco, CA, for third-party appellant, John Hickey Brokerage Co.

Michael A. Conley and Rada Potts, Securities and Exchange Commission, Washington, DC, for plaintiff-appellee, Securities and Exchange Commission.

Before HAWKINS, GRABER, and TALLMAN, Circuit Judges.

OPINION

TALLMAN, Circuit Judge.

This case presents us with the important and intriguing question of when a court may freeze assets of a nonparty to effectuate relief granted in a securities fraud enforcement action. We conclude that the inherent equitable power of a district court allows it to freeze the assets of a nonparty when that nonparty is dominated and controlled by a defendant against whom relief has been obtained in a securities fraud enforcement...

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