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S.E.C. v. KOKESH

No. 15-2087.

834 F.3d 1158 (2016)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Charles R. KOKESH, Defendant-Appellant.

United States Court of Appeals, Tenth Circuit.

August 23, 2016.

Attorney(s) appearing for the Case

Clinton W. Marrs , Marrs Griebel Law, Ltd., Albuquerque, New Mexico for Defendant-Appellant.

Sarah R. Prins , Attorney ( Anne K. Small , General Counsel, Sanket J. Bulsara , Deputy General Counsel, Michael A. Conley , Solicitor, and Benjamin L. Schiffrin , Senior Litigation Counsel, with her on the brief), Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee.

Before HARTZ, PHILLIPS, and McHUGH, Circuit Judges.

The Securities and Exchange Commission (SEC) brought an enforcement action against Defendant Charles Kokesh for misappropriating funds from four SEC-registered business development companies (BDCs) in violation of federal securities laws. After a jury returned a verdict in favor of the SEC, the United States District Court...

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