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S.E.C. v. CMKM DIAMONDS, INC.

Nos. 11-17021, 11-17025.

729 F.3d 1248 (2013)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee, v. CMKM DIAMONDS, INC., Defendant, and 1st Global Stock Transfer LLC; Helen Bagley; Brian Dvorak, Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed September 10, 2013.

Attorney(s) appearing for the Case

Mark S. Dzarnoski (argued), Gordon & Silver Ltd., Las Vegas, NV, for Defendants-Appellants 1st Global Stock Transfer LLC and Helen Bagley.

John Wesley Hall, Jr. (argued), Law Offices of John Wesley Hall, Jr., Little Rock, AR, for Defendant-Appellant Brian Dvorak.

Allan Armistead Capute (argued), Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellee.

Before: SUSAN P. GRABER and MORGAN CHRISTEN, Circuit Judges, and JOHN R. TUNHEIM, District Judge.

OPINION

TUNHEIM, District Judge:

These consolidated appeals arise out of a civil enforcement action brought by the Securities and Exchange Commission ("SEC") against numerous defendants allegedly involved in a scheme to sell unregistered securities of CMKM Diamonds, Inc. ("CMKM"). The district court granted summary judgment in favor of the SEC, ruling that 1st Global Stock Transfer, LLC ("Global"), Helen Bagley, and Brian Dvorak (collectively, "Defendants...

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