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S.E.C. v. FIRST PACIFIC BANCORP

Nos. 96-56687, 96-56690.

142 F.3d 1186 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. FIRST PACIFIC BANCORP; PacVen, Inc., Defendants-Appellants, Leonard S. Sands; Charles W. Knapp; Berrien Moore; Daniel S. Geiger; Mulk Raj Dass; Apex Investment Securities, Ltd., Defendants, SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Leonard S. SANDS, Defendant-Appellant, First Pacific Bancorp; PacVen, Inc.; Charles W. Knapp; Berrien Moore; Daniel S. Geiger; Mulk Raj Dass; Apex Investment Securities, Ltd., Defendants.

United States Court of Appeals, Ninth Circuit.

Decided April 28, 1998.

Attorney(s) appearing for the Case

Scott W. Wellman, Wellman & Warren LLP, Irvine, California, for defendants-appellants.

Mark Pennington, Sr. Litigation Counsel, S.E.C., Washington, DC, for plaintiffs-appellees.

Before: FARRIS, O'SCANNLAIN, and FERNANDEZ, Circuit Judges.

FERNANDEZ, Circuit Judge:

The Securities and Exchange Commission brought a civil enforcement action against Leonard S. Sands, First Pacific Bancorp (Bancorp), and PacVen Inc. for violations of the antifraud, filing and disclosure provisions of the federal securities laws. The district court granted partial summary judgment in favor of the SEC on three of its claims.1 After a bench trial, the court ruled in favor of the SEC on all of its...

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