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S.E.C. v. SARGENT

No. 00-1293.

229 F.3d 68 (2000)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Appellant, v. Michael G. SARGENT, Dennis J. Shepard, Robert J. Scharn, United States, Defendants, Appellees.

United States Court of Appeals, First Circuit.

Decided October 11, 2000.

Attorney(s) appearing for the Case

Eric Summergrad, Deputy Solicitor, with whom David M. Becker, General Counsel, Meyer Eisenberg, Deputy General Counsel, and Nathan A. Forrester, Attorney Fellow, Securities and Exchange Commission, were on brief, for appellant.

Gary C. Crossen, with whom Jack W. Pirozzolo, Stephen C. Warneck and Foley, Hoag & Eliot, LLP were on brief, for appellee Michael G. Sargent.

Matthew C. Donahue, Andrea S. Barisano and Donahue & Donahue on brief for appellee Dennis J. Shepard.

Gregg S. Haladyna on brief for appellee Robert J. Scharn.

Before TORRUELLA, Chief Judge, WALLACE, Senior Circuit Judge, and LIPEZ, Circuit Judge.

WALLACE, Circuit Judge.

The Securities and Exchange Commission (Commission) appeals from a directed verdict entered in favor of defendants-appellees, Dennis J. Shepard, Michael G. Sargent, and Robert J. Scharn. The Commission also challenges the district court's denial of its request for pre-trial discovery and the district court's decision to exclude the criminal convictions of Sargent and Scharn for lying to Commission investigators. The district court had jurisdiction...

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