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S.E.C. v. GOBLE

No. 11-12059.

682 F.3d 934 (2012)

SECURITIES & EXCHANGE COMMISSION, Plaintiff-Appellee, v. Richard L. GOBLE, Defendant-Appellant.

United States Court of Appeals, Eleventh Circuit.

May 29, 2012.

Attorney(s) appearing for the Case

Susan S. McDonald , Mark Pennington , William Kenneth Shirey , Dimple Gupta , U.S. SEC, Washington, DC, Brian Barry , Robert K. Levenson , U.S. SEC, Miami, FL, for Plaintiff-Appellee.

Eric Lee , Lee & Amtzis, PL, Boca Raton, FL, Philip D. Bartlett , The Bartlett Law Firm, PA, Orlando, FL, for Defendant-Appellant.

Before MARCUS, COX and SILER, Circuit Judges.

COX, Circuit Judge:

The Securities and Exchange Commission ("SEC") brought this civil enforcement action against Richard L. Goble after he orchestrated a plan to manipulate the amount of money his company was required to set aside to safeguard customer assets. The district court conducted a five-day bench trial to consider the SEC's claims. The court found Goble liable for committing securities fraud in violation of § 10(b) of the Securities and Exchange Act...

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