United States Ninth Circuit

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SEC v. Stein, 15-55506

Affirmed summary judgment in favor of the Securities and Exchange Commission on its claims that an attorney committed securities fraud while purportedly serving as a company's outside counsel, agreeing with the agency that the attorney's criminal conviction based on the same conduct precluded him from contesting the allegations at issue in the civil case.

Appellate Information

  • Argued
  • Submitted
  • Decided
  • Published 2018/10/11

Judges

  • Wallace

Court

  • United States Ninth Circuit

Counsel


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