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S.E.C. v. NOVINGER

No. 21-10985.

40 F.4th 297 (2022)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Christopher A. NOVINGER; ICAN Investment Group, L.L.C., Defendants-Appellants.

United States Court of Appeals, Fifth Circuit.

FILED July 12, 2022.

Attorney(s) appearing for the Case

Jeffrey Alan Berger, Esq. , U.S. Securities & Exchange Commission, Washington, DC, B. David Fraser , Senior Attorney, U.S. Securities & Exchange Commission, Trial Unit, Fort Worth, TX, for Plaintiff-Appellee.

Margaret A. Little , Kara Rollins , New Civil Liberties Alliance, Washington, DC, for Defendants-Appellants.

Michael David Pepson , Americans for Prosperity Foundation, Arlington, VA, for Amicus Curiae.

Before Jones, Stewart, and Duncan, Circuit Judges.

The defendants settled a civil enforcement action that the Securities and Exchange Commission ("SEC") brought against them for alleged securities violations. Following its standard policy, the SEC barred the defendants from denying that they engaged in the charged conduct as a condition of settlement (the "no-deny...

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