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: 006111643932 Filed: 04/04/2013 Page: 1 UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT Deborah S. Hunt Clerk 100 EAST FIFTH STREET, ROOM 540 POTTER STEWART U.S. COURTHOUSE CINCINNATI, OHIO 45202-3988 Tel. (513) 564-7000 Filed: April 04, 2013 Mr. Matthew Thomas Anderson Luper, Neidenthal & Logan 50 W. Broad Street Suite 1200 Columbus, OH 43215 Ms. Hope Hall Augustini Securities and Exchange Commission Office of the General Counsel 100 F Street, N.E. Washington, DC 20549 Mr. Ronald Edward DePetris Law Office P.O. Box 6034 Southampton, NY 11969 Mr. David Lisitza Securities and Exchange Commission 100 F. St., NE mail Stop 8030B Room 8211 Washington, DC 20549 Re: Case No. 10-3546, SEC v. Sierra Brokerage Services, Inc, et al Originating Case No. 2:03-CV-326 Dear Counsel, The court today announced its decision in the above-styled case. Enclosed is a copy of the court's opinion together with the judgment which has been entered in conformity with Rule 36, Federal Rules of Appellate Procedure. Yours very truly, Deborah S. Hunt, Clerk Dixie Aerni Deputy Clerk Enclosures Mandate to issue.

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