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S.E.C. v. SIMPSON

Nos. 88-2426, 88-2427.

885 F.2d 390 (1989)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. James SIMPSON, Defendant-Appellant, and George E. Becker, Appellant.

United States Court of Appeals, Seventh Circuit.

Decided September 20, 1989.

Attorney(s) appearing for the Case

Patricia C. Holland, Lori T. Vardas, Steven A. Ramirez, S.E.C., Chicago, Ill., Daniel L. Goelzer, Denise O'Brien, Faith D. Ruderfer, S.E.C., Washington, D.C., for plaintiff-appellee.

Max Cohen, Cohen & Thiros, Merrillville, Ind., George E. Becker, Chicago, Ill., for James Simpson, Richard Holiusa, Donald Swanson, Certified Investment Companies, Certified Commodities, Inc., Certified Precious Metals, Inc., and Levitan Inv.

George Becker, Chicago, Ill., pro se.

Stephen Becker, Chicago, Ill., for George E. Becker.

Before FLAUM, RIPPLE and KANNE, Circuit Judges.

RIPPLE, Circuit Judge.

This appeal grows out of an action against James Simpson initiated by the Securities and Exchange Commission (SEC). On July 15, 1988, Mr. Simpson, acting on the advice of his attorney, George E. Becker, failed to appear at a hearing to show cause why he should not be held in civil contempt for failing to comply with a permanent injunction entered in the SEC action. At the hearing, the district court fined Mr. Simpson $5,000 for violating an...

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