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S.E.C. v. MERRILL SCOTT & ASSOCIATES, LTD.

No. 08-4029.

600 F.3d 1262 (2010)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. MERRILL SCOTT & ASSOCIATES, LTD.; Merrill Scott & Associates, Inc.; Phoenix Overseas Advisers; Gibralter Permanente; Patrick M. Brody; David E. Ross, II; Michael G. Licopantis, Defendants. United States of America, Intervenor-Appellee, and Richard Gerber, Interested Party-Appellant.

United States Court of Appeals, Tenth Circuit.

March 23, 2010.

Attorney(s) appearing for the Case

Submitted on the briefs:*

Samuel Rosenthal, Patton Boggs, LLP, New York, NY, for Appellant.

Brett L. Tolman, United States Attorney, Stephen J. Sorenson, Assistant United States Attorney, Brian D. Bailey, Special Assistant United States Attorney, Salt Lake City, UT, for Appellee.

Before KELLY, McKAY, and BRISCOE, Circuit Judges.

PAUL KELLY, JR., Circuit Judge.

This case requires us to determine the scope of certain protective orders entered to safeguard personal financial information provided by an alleged tax evader who was also the victim of a securities fraud scheme. Dr. Richard Gerber invested money with defendant Merrill Scott & Associates (Merrill Scott) under a nominee arrangement promising large tax savings. The Securities and Exchange Commission (SEC) subsequently sued Merrill...

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