SEC v. Sierra Brokerage Services, Inc, et al


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.

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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

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