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S.E.C. v. WEALTH MANAGEMENT LLC

No. 09-4090.

628 F.3d 323 (2010)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee, v. WEALTH MANAGEMENT LLC, et al., Defendants-Appellees. Appeal of Edwin Wilson M.D. Ira and the James P. and Sandra J. Verhoeven Revocable Trust.

United States Court of Appeals, Seventh Circuit.

Decided December 1, 2010.

Attorney(s) appearing for the Case

Eric M. Phillips , Securities and Exchange Commission, Chicago, IL, for Plaintiff-Appellee.

Bruce G. Arnold , Jeffrey J. Liotta (argued), Whyte Hirschboeck Dudek , Milwaukee, WI, for Edwin Wilson M.D. IRA and the James P. and Sandra J. Verhoeven Revocable Trust.

James Putman , Manasha, WI, pro se.

Stephen J. Senderowitz , Winston & Strawn LLP, Chicago, IL, for Defendant-Appellee.

Faye B. Feinstein (argued), Quarles & Brady, Chicago, IL, pro se.

E. King Poor , Quarles & Brady, Chicago, IL, for Appellee.

Before RIPPLE, KANNE, and SYKES, Circuit Judges.

SYKES, Circuit Judge.

This is an appeal from a collateral order issued in an enforcement action brought by the Securities and Exchange Commission ("SEC") against a Wisconsin-based investment firm and its principals. For more than twenty years, Wealth Management LLC handled client accounts for hundreds of investors. Many were retirees, so Wealth Management usually stuck to traditional safe, low-risk investments. That changed...

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