Opinion · Court of Appeals for the Ninth Circuit

Securities & Exchange Commission v. Hickey

335 F.3d 834

Type: Opinion
Court: Court of Appeals for the Ninth Circuit
Jurisdiction: Federal
Date: 2003-07-07
Topic: bankruptcy

How later courts describe this case

“federal courts have inherent equitable authority to issue a variety of ‘ancillary relief’ measures in actions brought by the SEC to enforce the federal securities laws”

Citator

UpLaw has not yet analyzed Securities & Exchange Commission v. Hickey. The absence of a flag is not a finding that it is good law.

Cited by: 13 opinions

SECURITIES AND EXCHANGE COMMISSION v. HICKEY,335 F.3d 834(9th Cir. 2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. John A. HICKEY,

Defendant-Appellant, and Mamie Tang, Continental Capital Financial Group,

Inc.; Continental Capital Income Fund II; JM Regional, Inc.; Continental

Capital Properties I, Inc.; Continental Capital Securities Group, Inc.;

Continental Capital Investments, Inc.; Continental Capital Employees,

Inc.; Continental Capital Secured Principal With Income Fund I;

Continental Capital Private Equity Fund I; D.E. Frey Company, Inc.,

Defendants. Securities and Exchange Commission, Plaintiff-Appellee, v.

John A. Hickey, Defendant, and John Hickey Brokerage, Third

Party-Appellant.

Nos. 01-17027, 01-17214.

United States Court of Appeals, Ninth Circuit.

Argued and Submitted November 5, 2002.

Filed March 7, 2003.

Amended July 7, 2003.

David J. Cohen, Cohen Paik, San Francisco, California, for defendant-appellant John A. Hickey.

Curtis F. Dowling, Dillingham Murphy LLP, San Francisco, California, for third-party appellant John Hickey Brokerage Co.

Michael A. Conley and Rada Potts, Securities and Exchange Commission, Washington, D.C., for plaintiff-appellee Securities and Exchange Commission.

Appeals from the United States District Court for the Northern District of California;Page 835William H. Alsup, District Judge, Presiding. D.C. No. CV-94-03336-WHA.

Before HAWKINS, GRABER, and TALLMAN, Circuit Judges.

ORDER

The slip opinion filed March 7, 2003, is hereby amended as follows:

At page 3512, line 7, the text "admitted violating securities laws and" shall be deleted. At page 3513, line 24, the word "no" shall be deleted and replaced by "insufficient." At page 3513, lines 25-27, the following text shall be deleted: "Nonetheless, the district court allowed Hickey's counsel to designate portions of the deposition of Dorothy Hickey for consideration by the court."

With these amendments, the panel has voted to deny the petition for panel rehearing. The panel has also voted to deny the petition for rehearing en banc. The full court has been advised of the petition for rehearing en banc and no judge has requested a vote on whether to hear the matter en banc. Fed.R.App.P.35.

The petition for panel rehearing and the petition for rehearing en banc are DENIED. No additional petitions for rehearing will be accepted in this case.