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S.E.C. v. DUNLAP

Nos. 01-1382, 01-1391.

253 F.3d 768 (2001)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Tracy Calvin DUNLAP, Jr., Defendant-Appellant, and Elfindepan, S.A.; Southern Financial Group; Barry Lowe; James L. McCall; Strategic Asset Funds, S.A.; Edmund Menden; Michael Menden; Michael Zieglmeier; C.R.C.C., LLC; Patrick Wilson, Defendants. Securities and Exchange Commission, Plaintiff-Appellee, v. Tracy Calvin Dunlap, Jr., Defendant-Appellant, and Elfindepan, S.A.; Southern Financial Group; Barry Lowe; James L. Mccall; Strategic Asset Funds, S.A.; Edmund Menden; Michael Menden; Michael Zieglmeier; C.R.C.C., LLC; Patrick Wilson, Defendants.

United States Court of Appeals, Fourth Circuit.

Decided April 23, 2001.

Order Filed: May 30, 2001

Attorney(s) appearing for the Case

ARGUED: K.E. Krispen Culbertson, Culbertson & Associates, Greensboro, NC; John Joseph Korzen, Anderson, Korzen & Associates, P.C., Kernersville, NC, for Appellant.

John Wallace Avery, Special Counsel, Eric N. Miller, Kurt G. Gresenz, Securities and Exchange Commission, Washington, DC, for Appellee.

E. Clarke Dummit, Winston-Salem, NC, for prospective Intervenor.

ON BRIEF: Jacob H. Stillman, Solicitor, Katharine B. Gresham, Assistant General Counsel, Securities and Exchange Commission, Washington, DC, for Appellee.

Before WIDENER, WILLIAMS, and KING, Circuit Judges.

Affirmed in part, modified and vacated in part, and remanded by published opinion. Judge KING wrote the opinion, in which Judge WIDENER and Judge WILLIAMS joined.

OPINION

KING, Circuit Judge:

Tracy Calvin Dunlap, Jr. ("Dunlap") appeals his civil contempt citation and incarceration in the Middle District of North Carolina. The contempt proceedings against Dunlap resulted from his failure and refusal to comply, on Fifth Amendment grounds, with a preliminary...

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