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S.E.C. v. SHIELDS

No. 12-1438.

744 F.3d 633 (2014)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Jeffory D. SHIELDS, a/k/a Jeffrey D. Shields; GeoDynamics, Inc., f/k/a or d/b/a GeoDynamics Exploration, Inc., Defendants-Appellees, and GeoDynamics, Inc. Johnston's Corner # 1 and # 2 Joint Venture; GeoDynamics, Inc. Huskies # 1 Joint Venture; GeoDynamics Exploration, Inc. Trumpeter # 1 and # 2 Joint Venture; GeoDynamics, Inc. EVDA # 1 Joint Venture; Floribama Oil Corporation; Carbotec, Inc.; Triton Energy Asset Management, Inc., d/b/a Triton Energy Asset Management, LLC; GeoDynamics Property Management, LLC; T.E.A.M. Property Management, LLC, d/b/a T.E.A.M. Property Management; S & P Energy, LLC; Aurum Energy Associates, LLC; Unum, LLC, Relief Defendants-Appellees. The American Energy Joint Venture Association, Amicus Curiae.

United States Court of Appeals, Tenth Circuit.

February 24, 2014.

Attorney(s) appearing for the Case

Susan S. McDonald , Senior Litigation Counsel ( Anne K. Small , General Counsel; Michael A. Conley , Deputy General Counsel; Jacob H. Stillman , Solicitor; and Benjamin Vetter , Attorney, with her on the briefs), of the Securities and Exchange Commission, Washington, D.C., for Plaintiff-Appellant.

Paul H. Schwartz ( Andrew R. Shoemaker and Alice Warren-Gregory , with him on the brief) of Shoemaker Ghiselli & Schwartrz LLC, Boulder, CO, for Amicus Curiae in support of Appellees.

Before BRISCOE, Chief Judge, SEYMOUR, and LUCERO, Circuit Judges.

SEYMOUR, Circuit Judge.

The Securities and Exchange Commission ("SEC") brought this civil enforcement action against Defendant-Appellees Jeffory D. Shields, GeoDynamics, Inc. ("GeoDynamics"), and several other business entities affiliated with Mr. Shields, alleging securities fraud in connection with four oil and gas exploration and drilling ventures Mr. Shields, as managing partner of GeoDynamics, marketed to thousands of investors nationwide as Joint Venture Agreements...

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