9th Circuit Upholds SEC Summary Judgment Against Convicted Heart Tronics Fraudster

The 9th Circuit sided with the Securities Exchange Commission in an action against Heart Tronics Inc. and attorney Mitchell Stein, who fraudulently inflated the company’s stock price while working as its outside counsel. 

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Appellate Panel Vacates Penalties After Defendant’s Death

The Securities and Exchange Commission claimed victory in the 9th Circuit after an appellate panel affirmed a judgment against a financial planning corporation for selling unregistered securities, but a named defendant’s death during the appeal spared his estate of civil penalties.

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