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S.E.C. v. SMART

No. 11-4134.

678 F.3d 850 (2012)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Brian J. SMART, Defendant-Appellant, and Smart Assets, LLC, a California limited liability company, Defendant.

United States Court of Appeals, Tenth Circuit.

April 27, 2012.

Attorney(s) appearing for the Case

Submitted on the briefs:*

Brian J. Smart , Pro Se.

Mark D. Cahn , General Counsel; Michael A. Conley , Deputy General Counsel; Jacob H. Stillman , Solicitor; John W. Avery , Deputy Solicitor; Catherine A. Broderick , Senior Appellate Counsel, Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee.

Before KELLY, MURPHY, and MATHESON, Circuit Judges.

MURPHY, Circuit Judge.

In this civil enforcement action brought by the Securities and Exchange Commission (SEC) against Brian J. Smart and Smart Assets, LLC, the district court entered a $4,715,580 judgment against the defendants for operating a Ponzi scheme,1 and it permanently enjoined them from further violations of the federal securities laws. Smart appeals pro se. We have jurisdiction under 28 U.S.C. § 1291, and we AFFIRM.

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