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SECURITIES & EXC. COMM. v. DAIN RAUSCHER, INC.

No. 99-56828

254 F.3d 852 (2001)

Securities and Exchange Commission, Plaintiff-Appellant, v. Dain Rauscher, Inc.; Kenneth D. Ough; and Virginia O. Horler, Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

Filed June 26, 2001

Attorney(s) appearing for the Case

John W. Avery, Securities and Exchange Commission, Washington, DC, for the plaintiff-appellant.

Charles Rice, Shartsis Friese & Ginsburg, San Francisco, California, for the defendant-appellee.

Nicholas P. Coleman, Wilmer, Cutler & Pickering, Washington, DC, for amici in support of the defendant-appellee.

Before: HARRY PREGERSON, WILLIAM C. CANBY, JR., and DAVID R. THOMPSON, Circuit Judges.

Argued and Submitted February 9, 2001 — Pasadena, California

DAVID R. THOMPSON, Circuit Judge:

The Securities and Exchange Commission (SEC) sought a permanent injunction and civil penalties against Kenneth D. Ough for alleged violations of Section 17(a) of the Securities Act, 15 U.S.C. § 77q(a) (1994), amended by Pub.L. 106-554 § 302(b), 114 Stat. 2763, 2763A-452 (Dec. 21, 2000); Section 10(b) of the Exchange Act, 15 U.S.C. § 78j...

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