SEC v. Sierra Brokerage Services, Inc, et al

Filing

OPINION and JUDGMENT filed: AFFIRMED, decision for publication. Alice M. Batchelder (AUTHORING), Chief Circuit Judge; Julia Smith Gibbons, Circuit Judge and Lee H. Rosenthal, U.S. District Judge for the S. D. of TX.

Case: 10-3546

Document: 006111643928

Filed: 04/04/2013

Page: 1

UNITED STATES COURT OF APPEALS
FOR THE SIXTH CIRCUIT
No. 10-3546

FILED
Apr 04, 2013

UNITED STATES SECURITIES AND
EXCHANGE COMMISSION,
Plaintiff - Appellee,

DEBORAH S. HUNT, Clerk

v.
SIERRA BROKERAGE SERVICES, INC.,
c/o Jeffrey A Richardson, President, et al.
Defendants,
AARON TSAI,
Defendant - Appellant.
Before: BATCHELDER, Chief Judge; GIBBONS, Circuit Judge;
ROSENTHAL, District Judge.
JUDGMENT
On Appeal from the United States District Court
for the Southern District of Ohio at Columbus.
THIS CAUSE was heard on the record from the district court and was argued by counsel.
IN CONSIDERATION WHEREOF, it is ORDERED that the district court’s granting of
summary judgment and permanent injunction against Tsai is AFFIRMED.
ENTERED BY ORDER OF THE COURT

Deborah S. Hunt, Clerk