Legal Opinion
Securities & Exchange Commission v. Smart
Court of Appeals for the Tenth Circuit
Decided April 27, 2012No. 11-4134PublishedCited by 33 opinions
1Opinion of the Court
MURPHY, Circuit Judge.
In this civil enforcement action brought by the Securities and Exchange Commission (SEC) against Brian J. Smart and Smart Assets, LLC, the district court entered a $4,715,580 judgment against the defendants for operating a Ponzi scheme, 1 and it permanently enjoined them from further violations of the federal securities laws. Smart appeals pro se. We have jurisdiction under 28 U.S.C. § 1291, and we AFFIRM.
Background
In February 2009, the SEC began investigating Smart, who was the sole owner of Smart Assets, for securities fraud. Smart appeared before the agency in March…
2Cases cited16 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Baxter v. PalmigianoSupreme Court of the United States · 1976
- Lefkowitz v. TurleySupreme Court of the United States · 1973
- Shero v. City of Grove, Okl.Court of Appeals for the Tenth Circuit · 2007
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3Cited by33 opinions
- Bunn v. PerdueCourt of Appeals for the Tenth Circuit · 2020
- SEC v. GenAudio Inc.Court of Appeals for the Tenth Circuit · 2022
- SFF-TIR, LLC v. StephensonDistrict Court, N.D. Oklahoma · 2017
- SEC. & Exch. Comm'n v. ScovilleCourt of Appeals for the Tenth Circuit · 2019
- Securities & Exchange Commission v. GoldstoneDistrict Court, D. New Mexico · 2013
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