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U.S. S.E.C. v. SIERRA BROKERAGE SERVICES INC.

Case No. C2-03-CV-326.

608 F.Supp.2d 923 (2009)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. SIERRA BROKERAGE SERVICES INC., et al., Defendants.

United States District Court, S.D. Ohio, Eastern Division.

March 31, 2009.

Attorney(s) appearing for the Case

Adolph J. Dean, Jr., Amy S. Cotter, Tracy W. Lo, Kathryn A. Pyszka, U.S. Securities and Exchange Commission, Chicago, IL, Dale Edward Williams, Mark Thomas D'Alessandro, United States Attorney's Office-2 Columbus, OH, for Plaintiff.

Sierra Brokerage Services, Inc., Columbus, OH, pro se.

Peter B. Shaeffer, Chicago, IL, Paula Milsom Brown, Kravitz, Brown & Dortch, LLC, Frederick Morris Luper, Luper Neidenthal & Logan, Kimberly Cocroft, Buckingham Doolittle & Burroughs LLP, Carter M. Stewart, Vorys Sater Seymour & Pease LLP, Columbus, OH, Ronald E. DePetris, DePetris & Bachrach LLP, New York, NY, Aamer Ravji, Godwin Gruber, LLP, Phillip W. Offill, Jr., Dallas, TX, Irving M. Einhorn, Law Offices of Irving M., Manhattan Beach, CA, Benjamin Brian Segel, Dublin, OH, for Defendants.

Jeffrey A. Richardson, Columbus, OH, pro se.

Michael M. Markow, Westlake Village, CA, pro se.

OPINION & ORDER

ALGENON L. MARBLEY, District Judge.

I. INTRODUCTION

The Securities and Exchange Commission ("SEC") filed this civil enforcement action against twelve defendants alleging that they violated registration, disclosure, and anti-fraud provisions of federal securities law in connection with the public sale of Bluepoint Linux Software Corporation's ("Bluepoint") shares. In Count I, the SEC claims that Defendants Aaron Tsai ...

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