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S.E.C. v. STEIN

No. 15-55506.

906 F.3d 823 (2018)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, and Heart Tronics, Inc., Willie James Gault, Defendant-Appellee, v. Mitchell Jay STEIN, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Filed October 11, 2018.

Attorney(s) appearing for the Case

Robert O. Saunooke (argued), Saunooke Law Firm PA, Miramar, Florida, for Defendant-Appellant.

Allan A. Capute (argued), Special Counsel to the Solicitor; John B. Capehart , Attorney; Jacob H. Stillman , Senior Advisor to the Solicitor; John W. Avery , Deputy Solicitor; Robert B. Stebbins , General Counsel; Securities and Exchange Commission, Washington, D.C.; for Plaintiff-Appellee.

Before: J. Clifford Wallace, Marsha S. Berzon, and Consuelo M. Callahan, Circuit Judges.

OPINION

Mitchell Stein, an attorney, appeals from the district court's summary judgment in favor of the Securities and Exchange Commission (SEC) on the SEC's claims that Stein violated various federal securities laws. The district court entered summary judgment on six of the SEC's claims on the ground that Stein...

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