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RAYMOND J. LUCIA COMPANIES, INC. v. S.E.C.

No. 15-1345.

832 F.3d 277 (2016)

RAYMOND J. LUCIA COMPANIES, INC. and Raymond J. Lucia, Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided August 9, 2016.

Attorney(s) appearing for the Case

Mark A. Perry argued the cause for petitioners. With him on the briefs were Jonathan C. Bond , Jonathan C. Dickey , Palo Alto, CA, and Marc J. Fagel , San Francisco, CA.

Paul D. Clement , Washington, DC, Jeffrey M. Harris , and Christopher G. Michel were on the brief for amici curiae Ironbridge Global IV Ltd. and Ironbridge Global Partners, LLC in support of petitioners.

Kenneth B. Weckstein and Stephen A. Best , Washington, DC, were on the brief for amicus curiae Mark Cuban in support of petitioners.

Mark B. Stern , Attorney, U.S. Department of Justice, and Dominick V. Freda , Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With them on the joint brief were Benjamin C. Mizer , Principal Deputy Assistant Attorney General, U.S. Department of Justice, Beth S. Brinkmann , Deputy Assistant Attorney General, Mark R. Freeman , Melissa N. Patterson , Megan Barbero , Daniel J. Aguilar , and Tyce R. Walters , Attorneys, Michael A. Conley , Solicitor, Securities and Exchange Commission, and Martin V. Totaro , Attorney, Washington, DC.

Before: ROGERS, PILLARD and WILKINS, Circuit Judges.

Raymond J. Lucia and Raymond J. Lucia Companies, Inc., petition for review of the decision of the Securities and Exchange Commission imposing sanctions for violations of the Investment Advisers Act of 1940 and the rule against misleading advertising. Upon granting a petition for review of an initial decision by an administrative...

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