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S.E.C. v. JT WALLENBROCK & ASSOCIATES

No. 04-55100.

440 F.3d 1109 (2006)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. JT WALLENBROCK & ASSOCIATES; Citadel Capital Management Group, Inc., Defendants, and Larry Toshio Osaki; Van Y. Ichinotsubo, Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed March 10, 2006.

Attorney(s) appearing for the Case

Huey P. Cotton and Christine E. Field, Cozen O'Connor, Los Angeles, CA, for the defendants-appellants.

Mark Pennington, Assistant General Counsel, Securities and Exchange Commission, Washington, D.C., for the plaintiff-appellee.

Before ANDREW J. KLEINFELD, A. WALLACE TASHIMA and RAYMOND C. FISHER, Circuit Judges.

FISHER, Circuit Judge.

At issue is an order entered against parties to a securities pyramid or Ponzi scheme, requiring the principal and his two companies, jointly and severally, to disgorge millions of dollars that the district court found to be ill-gotten gains from their having defrauded numerous investors. The defendants are J.T. Wallenbrock & Associates ("Wallenbrock") and Citadel Capital Management Group, Inc. ("Citadel"), business entities that were organized...

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