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S.E.C. v. M & A WEST, INC.

No. 06-15165.

538 F.3d 1043 (2008)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. M & A WEST INC.; Scott L. Kelly; Salvatore Censoprano; Zahra R. Gilak; Frank Thomas Eck, III, Defendants, and Stanley R. Medley, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Filed August 12, 2008.

Attorney(s) appearing for the Case

Irving M. Einhorn and Patricia G. Bell, Law Offices of Irving M. Einhorn, for the appellant.

Brian G. Cartwright, General Counsel, Jacob H. Stillman, Solicitor, Hope Hall Augustini, Senior Litigation Counsel, Tracey A. Hardin, Senior Counsel, Securities and Exchange Commission, for the appellee.

Opinion by Judge THOMAS; Partial Concurrence and Partial Dissent by Judge IKUTA.

THOMAS, Circuit Judge:

This case arose from the activities of M & A West, Inc. ("M & A West"), which, as the district court aptly stated, "can fairly be described as a sham incubator for startup companies." The Securities and Exchange Commission ("SEC") brought a civil law enforcement action against defendant/appellant Stanley Medley and five co-defendants. This appeal concerns the charges against Medley only. Medley was charged with violating Section 5 of...

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