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U.S. S.E.C. v. QUAN

No. 16-1072.

870 F.3d 754 (2017)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Marlon QUAN; Acorn Capital Group, LLC; Stewardship Investment Advisors, LLC; Stewardship Credit Arbitrage Fund, LLC; Putnam Green, LLC; Livingston Acres, LLC; ACG II, LLC; Florence Quan, Defendants, Nigel Chatterjee; DZ Bank AG Deutsche Zentral-Genossenschaftsbank, Frankfurt am Main; Sovereign Bank, Intervenors, Topwater Exclusive Fund III, LLC; Freestone Low Volatility Partners, LP; Freestone Low Volatility Qualified Partners, LP, Intervenors-Appellants, Gary Hansen, Receiver-Appellee.

United States Court of Appeals, Eighth Circuit.

Filed: August 30, 2017.

Attorney(s) appearing for the Case

James Sanderson Alexander , U.S. Attorney's Office, Minneapolis, MN, John E. Birkenheier , Charles J. Kerstetter , Securities & Exchange Commission, Midwest Regional Office, Chicago, IL, Jacob Loshin , Benjamin Lawrence Schiffrin , William Kenneth Shirey , U.S. Securities & Exchange Commission, Office of General Counsel, Washington, DC for Plaintiff-Appellee.

Gary Hansen , Fox & Rothschild, Minneapolis, MN for Defendants.

Eric Matthew Fishman , Jonathan Thomas Shepard , Pryor & Cashman, George E. Warner, Jr. , Warner Law, Minneapolis, MN for Intervenors-Appellants.

Before SMITH, Chief Judge, COLLOTON and KELLY, Circuit Judges.

This is the second appeal in an enforcement action brought by the Securities and Exchange Commission (SEC) against Marlon Quan and entities he controlled, including the hedge fund Stewardship Credit Arbitrage Fund, LLC (SCAF).1 SCAF was heavily invested in loans to entities controlled by Thomas...

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