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S.E.C. v. JOHNSTON

Nos. 96-1716, 96-2273.

143 F.3d 260 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Robert JOHNSTON and Fiduciary Planning, Incorporated, Defendants-Appellees.

United States Court of Appeals, Sixth Circuit.

Decided May 1, 1998.

Attorney(s) appearing for the Case

Susan S. McDonald (argued and briefed), U.S. Securities and Exchange Commission, Washington, DC, Jane E. Jarcho, Securities and Exchange Commission, Chicago, IL, for Plaintiff-Appellant in No. 96-1716.

Susan S. McDonald (argued and briefed), Angel Yang, U.S. Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellant in No. 96-2273.

Lawrence M. Scott (argued and briefed), Mager, Mercer, Scott & Alber, Troy, MI, for Defendants-Appellees.

Before: MARTIN, Chief Judge and MERRITT and CLAY, Circuit Judges.

OPINION

BOYCE F. MARTIN, JR., Chief Judge.

This appeal derives from a conflict over a disgorgement order. In 1994 defendant Robert Johnston signed a consent decree regarding his activities in the securities field, but he continues to contest disgorgement of his alleged "ill-gotten" gains. The district court determined that Johnston's assets in a company profit-sharing/pension plan could not be used to satisfy the disgorgement order and that it was without...

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