Legal Opinion
Securities & Exchange Commission v. CMKM Diamonds, Inc.
Court of Appeals for the Ninth Circuit
Decided September 10, 2013No. 11-17021, 11-17025PublishedCited by 135 opinions
1Opinion of the Court
OPINION
TUNHEIM, District Judge:
These consolidated appeals arise out of a civil enforcement action brought by the Securities and Exchange Commission (“SEC”) against numerous defendants allegedly involved in a scheme to sell unregistered securities of CMKM Diamonds, Inc. (“CMKM”). The district court granted summary judgment in favor of the SEC, ruling that 1st Global Stock Transfer, LLC (“Global”), Helen Bagley, and Brian Dvorak (collectively, “Defendants”) participated in an unregistered distribution of securities in violation of Section 5 of the Securities Act of 1933 (“Securities Act”), 15…
2Cases cited24 opinions
- Pinter v. DahlSupreme Court of the United States · 1988
- Securities & Exchange Commission v. Ralston Purina Co.Supreme Court of the United States · 1953
- Fed. Sec. L. Rep. P 97,588 Securities and Exchange Commission v. Stephen MurphyCourt of Appeals for the Ninth Circuit · 1980
- Raymond Simpson v. Lear Astronics Corporation, United States Ex Rel. Raymond Simpson v. Lear Astronics CorporationCourt of Appeals for the Ninth Circuit · 1996
- Powershare, Inc. v. Syntel, Inc.Court of Appeals for the First Circuit · 2010
19 more not listed; retrieve them via the Exa API.
3Cited by135 opinions
- Pablo Bastidas v. Kevin ChappellCourt of Appeals for the Ninth Circuit · 2015
- Laura Flam v. Marshall FlamCourt of Appeals for the Ninth Circuit · 2015
- Keith Mitchell v. Anthony HedgpethCourt of Appeals for the Ninth Circuit · 2015
- Michael Kaiser v. Cascade Capital, LLCCourt of Appeals for the Ninth Circuit · 2021
- Auto Ind. Pension Trust Fund v. Toshiba Corp.Court of Appeals for the Ninth Circuit · 2018
130 more not listed; retrieve them via the Exa API.