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S.E.C. v. JASPER

No. 10-17064.

678 F.3d 1116 (2012)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Carl W. JASPER, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Filed May 15, 2012.

Attorney(s) appearing for the Case

J. Scott Ballenger , Latham & Watkins, Washington, DC, for the defendant-appellant.

Dominick V. Freda , Securities and Exchange Commission, Washington, DC, for the plaintiff-appellee.

Before: J. CLIFFORD WALLACE, D.W. NELSON, and CARLOS T. BEA, Circuit Judges.

OPINION

BEA, Circuit Judge:

Defendant-Appellant Carl W. Jasper is the former Chief Financial Officer (CFO) of Maxim Integrated Products, Inc., a publicly-traded semiconductor company based in Silicon Valley. Following revelations that the company had issued backdated stock options without properly expensing them,1 the SEC instituted this civil enforcement action against Jasper...

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