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PHILLIPS v. DEPT. OF COMMERCE, DIV. OF SEC.

No. 20150534-CA.

397 P.3d 863 (2017)

2017 UT App 84

Jack PHILLIPS, Petitioner, v. DEPARTMENT OF COMMERCE, DIVISION OF SECURITIES, Respondent.

Court of Appeals of Utah.

Filed May 18, 2017.

Attorney(s) appearing for the Case

Maria E. Windham , Beth J. Ranschau , and Whitney Hulet Krogue , Salt Lake City, Attorneys for Petitioner.

Sean D. Reyes , Brent A. Burnett , Salt Lake City, and Thomas M. Melton , Attorneys for Respondent.

Judge Stephen L. Roth authored this Opinion, in which Judges Kate A. Toomey and David N. Mortensen concurred.

Opinion

¶ 1 Petitioner Jack Phillips seeks review of a state agency's assessment against him of $413,750 in civil penalties for securities fraud. We set aside the penalty and return the case to the agency to reconsider the fine amount.

BACKGROUND

¶ 2 In late 2011, the Division of Securities (the...

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