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: 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. [phone]
www.ca6.uscourts.gov

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.