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U.S. S.E.C. v. FEHN

No. 94-16136.

97 F.3d 1276 (1996)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. H. Thomas FEHN, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Decided October 9, 1996.

Attorney(s) appearing for the Case

Gregory J. Sherwin, Fields, Fehn & Sherwin, Los Angeles, CA, for defendant-appellant.

Simon M. Lorne, Lucinda O. McConathy, Jacob H. Stillman and Catherine A. Broderick, Securities and Exchange Commission, Washington, D.C., for plaintiff-appellee.

Before: GOODWIN and HAWKINS, Circuit Judges, and FITZGERALD, District Judge.

MICHAEL DALY HAWKINS, Circuit Judge:

This appeal requires us to apply Section 104 of the recently enacted Private Securities Litigation Reform Act of 1995, which expressly authorizes the Securities and Exchange Commission ("SEC") to bring injunctive actions against those who aid and abet violations of certain securities laws.

California attorney H. Thomas Fehn appeals the district court's final judgment and permanent...

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