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C.F.T.C. v. EQUITY FINANCIAL GROUP LLC

Nos. 08-1558, 08-1838, 08-2495.

572 F.3d 150 (2009)

COMMODITY FUTURES TRADING COMMISSION v. EQUITY FINANCIAL GROUP LLC; Tech Traders, Inc.; Vincent J. Firth; Robert W. Shimer; J. Vernon Abernethy; Coyt E. Murray; Magnum Capital Investments, Ltd.; Magnum Investment, Ltd; Tech Traders, Ltd. Robert W. Shimer, Appellant at No. 08-1558 Vincent J. Firth, Appellant at No. 08-1838 Equity Financial Group, LLC, Appellant at No. 08-2495.

United States Court of Appeals, Third Circuit.

Filed July 13, 2009.

Attorney(s) appearing for the Case

Robert W. Shimer, Esquire, (Argued), Camp Hill, PA, Appellant, Pro Se and Attorney for Appellant, Equity Financial Group, LLC.

Vincent J. Firth, Medford, NJ, Appellant, Pro Se.

Martin B. White, Esquire (Argued), Lynn A. Bulan, Esquire, Washington, D.C., Attorneys for Appellee, Commodity Futures Trading Commission.

Jeffrey A. Carr, Esquire, Pepper Hamilton, Princeton, NJ, Attorney for Appellee, Stephen T. Bobo.

J. Vernon Abernethy, Belmont, NC, Appellee, Pro Se.

Before: SCIRICA, Chief Judge, SLOVITER and HARDIMAN, Circuit Judges.

OPINION OF THE COURT

SCIRICA, Chief Judge.

This case involves a civil enforcement action under the Commodity Exchange Act, 7 U.S.C. § 1 et seq., and related regulations. Defendants were charged with fraud under 7 U.S.C. §§ 6b and 6o and failing to register with the Commodity Futures Trading Commission, as required by 7 U.S.C. §§ 6m and 6k, among other counts. In a bench trial, the District Court concluded Equity Financial...

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