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S.E.C. v. COLDICUTT

No. 99-56169.

258 F.3d 939 (2001)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Elizabeth L. COLDICUTT, Defendant-Appellant, and EDP of California Inc.; William L. Woslow; Anthony AJ Williams; Fiona C. Williams; Burnett Grey & Co., Inc.; Fcn Financial Services, Inc.; Thomas D. Coldicutt; Ely J. Mandell, Defendants.

United States Court of Appeals, Ninth Circuit.

Submitted June 19, 2001.

Filed August 2, 2001.

Attorney(s) appearing for the Case

Alexandra M. Kwoka, Law Office of Alexandra Kwoka, San Diego, California; James D. Henderson, Jr., Charles C. Wehner, Wehner & Perlman, Los Angeles, California, for the defendant-appellant.

Thomas Karr, Securities and Exchange Commission, Washington, D.C., for the plaintiff-appellee.

Before: Harry Pregerson, William C. Canby, Jr., and David R. Thompson, Circuit Judges.

Submitted June 19, 2001 — Pasadena, California.

DAVID R. THOMPSON, Circuit Judge:

In 1992, the district court entered a permanent injunction by default against the appellant, Elizabeth L. Coldicutt, enjoining her from violating Sections 5(a) and 5(c) of the Securities Act, 15 U.S.C. §§ 77e(a) and 77e(c) (1994), by selling or offering to sell any securities unless and until a registration statement for such securities had been filed with the...

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