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S.E.C. v. WALLENBROCK

No. 02-55481.

313 F.3d 532 (2002)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. J.T. WALLENBROCK and Associates; Larry Toshio Osaki; Van Y. Ichscinotsubo; Citadel Capital Management Group, Inc., Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed December 12, 2002.

Attorney(s) appearing for the Case

Robert C. Rosen, John B. Wallace, and Dave Lenny, Rosen & Associates, Los Angeles, CA, for the appellants.

Giovanni P. Prezioso, Meyer Eisenberg, Jacob H. Stillman, and Mark Pennington, Securities and Exchange Commission, Washington, DC, for the appellee.

Before: GOODWIN, RYMER, and McKEOWN, Circuit Judges.

McKEOWN, Circuit Judge.

At issue in this interlocutory appeal is whether promissory notes purportedly secured by accounts receivable of Malaysian latex glove manufacturers constitute securities under the Securities Act of 1933, 15 U.S.C. § 77b(a)(1), and the Securities Exchange Act of 1934, 15 U.S.C. § 78c(a)(10) (collectively the "Securities Acts"). The Securities and Exchange Commission ("SEC") characterizes the notes as securities and part of a get-rich...

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