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U.S. v. BAILEY

No. 11-50132.

696 F.3d 794 (2012)

UNITED STATES of America, Plaintiff-Appellee, v. Richard A. BAILEY, AKA Richard Allen Bailey, AKA Rick Bailey, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Filed August 27, 2012.

Attorney(s) appearing for the Case

Stanley I. Greenberg , Law Offices of Stanley Greenberg, Los Angeles, CA, for the defendant-appellant.

André Birotte Jr. , United States Attorney; Robert E. Dugdale , Chief, Criminal Division, Assistant United States Attorney; Stephen I. Goorvitch , Major Frauds Section, Assistant United States Attorney; Los Angeles, CA, for the appellee.

Opinion by Judge B. FLETCHER; Dissent by Judge M. SMITH.

OPINION

B. FLETCHER, Circuit Judge:

A jury convicted Richard A. Bailey of two counts of securities fraud. Bailey appeals his conviction arguing that he was prejudiced by the trial court's improper admission of a prior civil complaint filed by the SEC against Bailey. We agree and vacate Bailey's conviction and remand for a new trial.

I. BACKGROUND

Bailey was the President, Chief Executive Officer, and Chairman of the Board of Directors of...

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