Civil Procedure Keyed to Cound
Securities Exchange Commission v. Monarch Funding Corporation
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The SEC initiated this action, alleging that Bertoli violated the securities laws in connection with his involvement with Monarch. This civil action commenced after Bertoli had been tried, convicted and sentenced for obstruction of justice charges in connection with an SEC investigation. Importantly, Bertoli was acquitted of the securities fraud violations. However, during sentencing, the district court judge made certain findings that Bertoli had attempted to conceal securities fraud. Since Bertoli was not convicted of securities fraud violations, the findings were not directly relevant, and therefore not necessary, to sentencing. Nonetheless, the SEC moved for summary judgment in this pending civil suit, claiming that the sentencing findings that Bertoli violated the securities law must preclude the relitigation of that issue in this case. The district court granted the motion for summary judgment, and this appeal ensued.
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