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U.S. S.E.C. v. MAXXON, INC.

No. 05-5091.

465 F.3d 1174 (2006)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. MAXXON, INC.; Gifford M. Mabie, Jr., Defendants-Appellants, and Thomas R. Coughlin, Jr., Defendant.

United States Court of Appeals, Tenth Circuit.

October 11, 2006.

Attorney(s) appearing for the Case

Ronald C. Kaufman, Kaufman & Associates, PLLC, Tulsa, OK (Jon B. Wallis, Tulsa, OK, with him on the briefs), for Defendants-Appellants.

Susan S. McDonald, Senior Litigation Counsel (Giovanni P. Prezioso, General Counsel, Eric Summergrad, Deputy Solicitor, and Susan Straus, Attorney, with her on the brief), Securities and Exchange Commission, Washington, DC, for Plaintiff-Appellee.

Before LUCERO, EBEL, and O'BRIEN, Circuit Judges.

EBEL, Circuit Judge.

Defendants-Appellants Gifford Mabie, Jr. and Maxxon, Inc., the company which Mabie controls, appeal from a jury verdict finding them civilly liable for violating various securities laws and a court judgment imposing various remedies. Exercising jurisdiction under 28 U.S.C. § 1291, we AFFIRM.1

BACKGROUND

Mabie founded Maxxon and served, at all relevant times, as its chief executive

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