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SECURITIES AND EXCHANGE COMMISSION v. HICKEY

Nos. 01-17027, 01-17214.

335 F.3d 834 (2003)

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.

United States Court of Appeals, Ninth Circuit.

Filed March 7, 2003.

Amended July 7, 2003.

Attorney(s) appearing for the Case

David J. Cohen, Cohen & Paik, San Francisco, California, for defendant-appellant John A. Hickey.

Curtis F. Dowling, Dillingham & Murphy LLP, San Francisco, California, for third-party appellant John Hickey Brokerage Co.

Michael A. Conley and Rada Potts, Securities and Exchange Commission, Washington, D.C., for plaintiff-appellee Securities and Exchange Commission.

Before HAWKINS, GRABER, and TALLMAN, Circuit Judges.

ORDER

The slip opinion filed March 7, 2003, is hereby amended as follows:

At page 3512, line 7, the text "admitted violating securities laws and" shall be deleted. At page 3513, line 24, the word "no" shall be deleted and replaced by "insufficient." At page 3513, lines 25-27, the following text shall be deleted: "Nonetheless, the district court allowed Hickey's counsel to designate portions of the deposition of Dorothy Hickey for consideration by the court...

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