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S.E.C. v. UNIQUE FINANCIAL CONCEPTS, INC.

No. 99-4033.

196 F.3d 1195 (1999)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. UNIQUE FINANCIAL CONCEPTS, INC., Ernest J. Patti, et al., Defendants-Appellants.

United States Court of Appeals, Eleventh Circuit.

November 18, 1999.

Attorney(s) appearing for the Case

J.B. Grossman, Law Practice of J.B. Grossman, Ft. Lauderdale, FL, for Defendants-Appellants.

Adalberto Jordan, Asst. U.S. Atty., Miami, FL, David S. Horowitz, Asst. D.A. David Newman, Senior Trial Atty., Deborah Siegel, Branch Chief, Enforcement, Merri Jo Gillette, SEC, Philadelphia, PA, Richard M. Humes, Assoc. Gen. Counsel, Jacob H. Stillman, Leslie E. Smith, Rada L. Potts, Harvey J. Goldschmid, SEC, Washington, DC, for Plaintiff-Appellee.

Before BLACK, HULL and MARCUS, Circuit Judges.

BLACK, Circuit Judge:

Appellants Unique Financial Concepts, Inc. (Unique), Ernest J. Patti (Patti), Frederick N. Hollander (Hollander), and Nicholas D. DeAngelis (DeAngelis), appeal a preliminary injunction enjoining Appellants from violating the anti-fraud and securities registration provisions of Section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a). The district court found that Appellants' activities were subject to the Securities Act because Appellants...

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