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S.E.C. v. PALMISANO

Docket No. 96-6197.

135 F.3d 860 (1998)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Joseph C. PALMISANO, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided February 4, 1998.

Attorney(s) appearing for the Case

Richard H. Walker, General Counsel, Washington, DC (Eric Summergrad, Principal Asst. General Counsel, Mark Pennington, Senior Litigation Counsel, Christopher Paik, Senior Counsel, Paul Gonson, Solicitor, Washington, DC, on brief), for Plaintiff-Appellee.

Joseph C. Palmisano, Fort Worth, TX, Defendant-Appellant pro se.

Before: KEARSE and CARDAMONE, Circuit Judges, and LEISURE, District Judge.

KEARSE, Circuit Judge:

Defendant pro se Joseph C. Palmisano appeals from so much of a judgment of the United States District Court for the District of Vermont, Franklin S. Billings, Jr., Judge, as orders him, in this civil enforcement action brought by the Securities and Exchange Commission ("SEC"), to disgorge approximately $9.2 million and to pay an additional civil penalty of $500,000, for violations of the Securities Act of 1933 ("Securities Act"), 15 U...

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