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U.S. S.E.C. v. SIERRA BROKERAGE SERVICES, INC.

No. 10-3546.

712 F.3d 321 (2013)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. SIERRA BROKERAGE SERVICES, INC., c/o Jeffrey A. Richardson, President, et al., Defendants, Aaron Tsai, Defendant-Appellant.

United States Court of Appeals, Sixth Circuit.

Decided and Filed: April 4, 2013.

Attorney(s) appearing for the Case

ARGUED: Ronald E. DePetris , Southampton, New York, for Appellant. Hope Hall Augustini , Securities and Exchange Commission, Washington, D.C., for Appellee. ON BRIEF: Ronald E. DePetris , DePetris & Bachrach, LLP, New York, New York, Matthew T. Anderson , Luper Neidenthal & Logan, Columbus, Ohio, for Appellant. Hope Hall Augustini , David Lisitza , Securities and Exchange Commission, Washington, D.C., for Appellee.

Before: BATCHELDER, Chief Judge; GIBBONS, Circuit Judge; and ROSENTHAL, District Judge.

OPINION

ALICE M. BATCHELDER, Chief Judge.

The Securities and Exchange Commission filed this civil enforcement action against twelve Defendants, alleging that they violated registration, disclosure, and anti-fraud provisions of federal securities law. The SEC moved for summary judgment against the Defendants, and the Defendants made a cross-motion for summary judgment. The district court granted the SEC's motion in part and denied it in part, granted permanent...

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