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SECURITIES & EXCHANGE COMMISSION v. ZANDFORD

No. 99-1733.

238 F.3d 559 (2001)

Securities & Exchange Commission, Plaintiff-Appellee, v. Charles Zandford, Defendant-Appellant.

United States Court of Appeals, Fourth Circuit.

Decided: January 26, 2001.

Attorney(s) appearing for the Case

ARGUED: Erin J. Roth, Student Counsel, Appellate Litigation Program, GEORGETOWN UNIVERSITY LAW CENTER, Washington, D.C., for Appellant.

Melinda Hardy, Assistant General Counsel, SECURITIES AND EXCHANGE COMMISSION, Washington, D.C., for Appellee.

ON BRIEF: Steven H. Goldblatt, Director, Lisa M. Porcari, Supervising Attorney, Robert L. Jacobson, Student Counsel, Appellate Litigation Program, GEORGETOWN UNIVERSITY LAW CENTER, Washington, D.C., for Appellant.

David M. Becker, General Counsel, Meyer Eisenberg, Deputy General Counsel, Richard M. Humes, Associate General Counsel, Philip J. Holmes, Attorney-Fellow, SECURITIES AND EXCHANGE COMMISSION, Washington, D.C., for Appellee.

Before WILKINSON, Chief Judge, and MICHAEL and TRAXLER, Circuit Judges.

Reversed and remanded by published opinion. Chief Judge Wilkinson wrote the opinion, in which Judge Michael and Judge Traxler joined.

WILKINSON, Chief Judge:

Defendant Charles Zandford was convicted of thirteen counts of wire fraud for stealing from two of his investment clients. The Securities and Exchange Commission subsequently filed this civil action against Zandford under § 17(a) of the Securities Act of 1933, § 10(b) of the Securities Exchange...

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