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Legal Opinion

Donald Hateley, the Cambridge Group, and Wendy Seretan v. Securities and Exchange Commission

Court of Appeals for the Ninth Circuit

Decided October 18, 1993No. 91-70734PublishedCited by 49 opinions

1Opinion of the Court

OPINION

REINHARDT, Circuit Judge:

Petitioners Donald Hateley, Wendy Sere-tan and The Cambridge Group, Inc. (collectively “Petitioners”) challenge a decision by respondent Securities and Exchange Commission (“SEC”) affirming a $55,000 disgorgement order imposed against them jointly and severally. We conclude that the amount of the disgorgement is excessive and unreasonable but deny the petition for review in all other respects.

I. Background

The Cambridge Group, Inc. (“Cambridge”) was a three-person broker-dealer securities firm and a member of the National Association of Securities Dealers, Inc.…

2Cases cited8 opinions

  1. Kay Hollinger Richard Llewelyn Jones Edward E. Nissen Judy D'Arcy K-Judy, Ltd. v. Titan Capital Corp. Emil Wilkowski Painter Financial Group, Ltd.Court of Appeals for the Ninth Circuit · 1990
  2. Fed. Sec. L. Rep. P 98,643 Securities and Exchange Commission v. Washington County Utility District, Wade H. PatrickCourt of Appeals for the Sixth Circuit · 1982
  3. ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1977
  4. Ronald G. SORRELL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1982
  5. HINKLE NORTHWEST, INC., Ernest F. Hinkle, Kenneth T. LaMear and Dennis B. Reiter, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1981

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3Cited by49 opinions

  1. Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
  2. Securities & Exchange Commission v. ContorinisCourt of Appeals for the Second Circuit · 2014
  3. Fed. Sec. L. Rep. P 99,516, 47 Fed. R. Evid. Serv. 1288 Securities and Exchange Commission v. Hughes Capital Corporation F.D. Roberts Securities, Inc. Howard Ackerman Gilbert Beall Dominick Fiorese Frederick Galiardo Sheldon G. Kanoff John Knoblauch Susan Lachance Alan Lieb Frederic Mascolo John Perfetti Lionel Reifler Ira Victor, Lionel Reifler, Susan Lachance, and Howard AckermanCourt of Appeals for the Third Circuit · 1997
  4. In Re Richard G. Sherman in Re Andrea Pearl Sherman, Debtors, Richard G. Sherman Andrea Pearl Sherman v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 2007
  5. Securities & Exchange Commission v. SandsDistrict Court, C.D. California · 1995

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