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S.E.C. v. ROSS

Nos. 05-35541, 05-35542, 05-35544, 05-35545, 05-35546, 05-35547, 05-35552, 05-35554, 05-35555, 05-35559, 05-35577, 05-35578, 05-35580, 05-35663.

504 F.3d 1130 (2007)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee, and Thomas F. Lennon, as appointed receiver for Alpha Telcom, Inc.; an Oregon Corporation; American Telecommunication Company, Inc., a Nevada Corporation; Strategic Partnership Alliance, LLC.; a Nevada Limited Liability Company; SPA Marketing, LLC, a Nevada Limited Liability Company, Receiver-Appellee, v. Priscilla ROSS; Kevin M. Rimple; Bruce F. Ruark; Dennis L. Baugher; Michael E. Girouard; Lance Lipoufski; Samir K. Ghosh; Robert Tripode; Richard Wilson; Harold C. Norris; Thomas O. Park; Joe Brandenburg; Ernest Bustos; Thell G. Pruitt, Intervenors-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed October 15, 2007.

Attorney(s) appearing for the Case

Ernest Bustos, San Antonio, TX, pro se, as the intervenor-appellant.

David R. Zaro, Allen Matkins Leck Gamble & Mallory LLP, Los Angeles, CA, for the receiver-appellee.

Christopher Paik, Esq., Securities & Exchange Commission, Washington, DC, for the plaintiff-appellee.

Before: D.W. NELSON, ANDREW J. KLEINFELD, and JAY S. BYBEE, Circuit Judges.

BYBEE, Circuit Judge:

Ernest Bustos and sixteen other Intervenor-Defendants (collectively, "Bustos") appeal the district court's order requiring them to disgorge commissions they received through the sale of interests in pay phones being offered by Alpha Telcom, Inc. and related companies (collectively, "Alpha Telcom"). This disgorgement order issued in a summary proceeding ancillary to an enforcement action brought by the Securities and Exchange Commission ("SEC...

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