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KOCH v. S.E.C.

No. 97-70834.

177 F.3d 784 (1999)

Russell G. KOCH, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed May 19, 1999.

Attorney(s) appearing for the Case

James B. Parsons, Bellevue, Washington, for the petitioner.

Jacob H. Stillman, Associate General Counsel, Securities and Exchange Commission, Washington, D.C., for the respondent.

Before: D. W. NELSON and KOZINSKI, Circuit Judges, and SCHWARZER, District Judge.

KOZINSKI, Circuit Judge:

We consider the retroactivity of the penny stock bar provisions of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990 ("Remedies Act"), Pub.L. No. 101-429, 104 Stat. 931.

BACKGROUND

In 1993, the SEC brought an action against Russell Koch. It alleged that he had participated in a scheme to sell unregistered securities to the public and had also violated the antifraud...

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