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SECURITIES AND EX. COM. v. RUBERA

Nos. 02-35886, 02-35907.

350 F.3d 1084 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Paul S. RUBERA, Defendant-Appellee. Securities And Exchange Commission, Plaintiff-Appellee, v. Paul S. Rubera, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Filed December 5, 2003.

Attorney(s) appearing for the Case

Leslie E. Smith and Eric Summergrad, Securities and Exchange Commission, Washington, DC, for the plaintiff-appellant-cross-appellee.

Douglas A. Stringer, Robert C. Weaver, Jr. and Adam R. Kelly, Garvey Schubert Barer, Portland, OR, for the defendant-appellee-cross-appellant.

Before: Arthur L. ALARCÓN, Johnnie B. RAWLINSON, and Jay S. BYBEE, Circuit Judges.

Argued and Submitted November 5, 2003 — Portland, Oregon.

OPINION

ALARCÓN, Circuit Judge.

In this civil enforcement action filed by the Securities and Exchange Commission pursuant to Sections 20(d)(1) and 22(a) of the Securities Act of 1933, 15 U.S.C. §§ 77t(d)(1), 77v(a), and Sections 21(d)(3)(A), 21(e), and 27 of the Securities and Exchange Act of 1934, 15 U.S.C. §§ 78u(d)(3)(A), 78u(e), 78aa, (collectively "Securities...

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