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S.E.C. v. THOMPSON

No. 11-4182.

732 F.3d 1151 (2013)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellee, v. Ralph W. THOMPSON, Jr., Defendant-Appellant, and Robert Casey Hall; US Ventures, a Utah limited liability company; Robert L. Holloway; Duane C. Johnson; Online Strategies Group, a Delaware corporation; RCH2, a Utah limited liability company; David Story; Eric J. Wheeler; US Ventures International, a Utah limited liability company, Defendants.

United States Court of Appeals, Tenth Circuit.

October 4, 2013.

Attorney(s) appearing for the Case

Catherine A. Broderick , Senior Appellate Counsel, Securities and Exchange Commission ( Mark D. Cahn , General Counsel; Michael A. Conley , Deputy General Counsel; Jacob H. Stillman , Solicitor; and Susan S. McDonald , Senior Litigation Counsel, with her on the brief), Washington, D.C., for Plaintiff-Appellee.

John J.E. Markham, II , Markham & Read, Boston, MA, for Defendant-Appellant.

Before KELLY, BALDOCK, and EBEL, Circuit Judges.

EBEL, Circuit Judge.

This appeal arises out of a civil-enforcement action brought by the Securities and Exchange Commission ("SEC") against Defendant-Appellant Ralph W. Thompson, Jr., in connection with an alleged Ponzi scheme Thompson ran through his company, Novus Technologies, L.L.C. ("Novus"). The district court granted summary judgment in the SEC's favor on several issues, including the issue of whether the instruments Novus sold investors were "securities,"...

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