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322 F.3d 1123 *; 2003 U.S. App. LEXIS 4033 **; Fed. Sec. L. Rep. (CCH) P92,292; 2003 Cal. Daily Op. Service 2073
SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. JOHN A. HICKEY, Defendant-Appellant, and MAMIE TANG, CONTINENTAL CAPITAL FINANCIAL GROUP, INC.; CONTINENTAL CAPITAL INCOME FUND II; JM REGIONAL, INC.; CONTINENTAL CAPITAL PROPERTIES I, INC.; CONTINENTAL CAPITAL SECURITIES GROUP, INC.; CONTINENTAL CAPITAL INVESTMENTS, INC.; CONTINENTAL CAPITAL EMPLOYEES, INC.; CONTINENTAL CAPITAL SECURED PRINCIPAL WITH INCOME FUND I; CONTINENTAL CAPITAL PRIVATE EQUITY FUND I; D.E. FREY & COMPANY, INC., Defendants. SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. JOHN A. HICKEY, Defendant, and JOHN HICKEY BROKERAGE, Third-Party Appellant.
Subsequent History: Amended by, Rehearing denied by, Rehearing, en banc, denied by SEC v. Hickey, 2003 U.S. App. LEXIS 13559 (9th Cir., July 7, 2003)
Reprinted as amended at SEC v. Hickey, 2003 U.S. App. LEXIS 13563 (9th Cir. Cal., July 7, 2003)
Prior History: [**1] Appeals from the United States District Court for the Northern District of California. D.C. No. CV-94-03336-WHA. William H. Alsup, District Judge, Presiding.
SEC v. Hickey, 2000 U.S. Dist. LEXIS 2361 (N.D. Cal., Feb. 18, 2000)
Brokerage, district court, freeze, alter ego relationship, piercing, alter ego, ownership, contempt, disgorgement, nonparty, securities law, courts, corporate entity, contempt order, purge, stock, equitable power, circumstances, shareholder, expenses, entity, froze, enforcement action, ancillary relief, impose liability, abused, ego
Securities Law, Civil Liability Considerations, Preservation of Remedies & Rights, Civil Procedure, Sanctions, Contempt, Civil Contempt, General Overview, Appeals, Appellate Jurisdiction, Justiciability, Mootness, Standards of Review, Abuse of Discretion, Judgments, Relief From Judgments, Independent Actions, Interlocutory Orders, Business & Corporate Law, Shareholder Duties & Liabilities, Piercing the Corporate Veil, Preliminary Considerations, Federal & State Interrelationships, Erie Doctrine, Alter Ego, Fraud & Misrepresentation, Estate, Gift & Trust Law, Estate Planning, Community Property, Family Law, Property Rights, Characterization, Community Property, Shareholders, Reverse Piercing, Remedies