FILED U.S. COURT OF AP P EALS E LEVEN T HC IRC U IT JULY 8, 2008 THOMAS K. KAH

N CLERK [ P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 07- 15255 N on -A rgum entC al endar

________________________ D . C. D o c k e tN o . 0 6 - 0 0 1 8 3 - CV - O RL- 2 8 - K RS S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N , P la in tif f - A p p e lle e , v ersu s P A T R I C K K I R K L A N D , D e f e n d a n t- A p p e lla n t, J U D I T H M . M E R C I E R , R e c e iv e r - A p p e lle e .

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f orthe M i ddl e D i s tr i c tof F l or i da

_________________________ ( Ju l y 8, 2008) B efo re A N D E R S O N , H U L L an d P R Y O R , C i rcu i tJu d g es.2

P E R C U R I A M: P atri ck K i rkl and app ea l s afi nd i ng of cont em ptand rem edi al sa nct i on that f ol l ow e d hi s a l l e ge d vi ol a t i on of a n a s s e tf

r e e z e , w hi c h w a s e nt e r e d a f t e rthe S ecu ri t i es an d E x ch an g e C o m m i ssi o n fi l ed a co m p l ai n tag ai n stK i rk l an d . B ecau se w e la c k ju r is d ic tio n o v e rth e o r d e ro f c iv il c o n te m p t e n te r e d b y th e d is tr ic t c o u r t, w e d is m is s th is ap p e a l. In 20 06 , the C om m i ss i on fi l ed a c om pl ai ntagai nstK i rkl and and three com pani es control l ed by hi m . T he com pl ai ntal l eged thatK i rkl and h ad f r a u d u le n tly e n tic e d in v e s to r s to b u y u n r e g is te r e d s e c u r itie s in r e a l- e s ta te de ve l opm e nt s . T he c om pl a i ntr e que s t e d ar e s tr a i ni ng or de r , af r e e z e of a s s e t s , the appo i ntm entof a r ec ei ver, di sgorgem ent , and ci vi l penal t i es . T he di stri ctcourt ent er ed a f

re ez e of a ss et s a nd appo i nt ed a r ec ei ver. In 20 07 , the C om m i ss i on and the R ec ei ver f i l ed a j oi ntm ot i on for a n o rder t o sho w cause w hy K i rkl and sho ul d n otbe hel d i n con t em ptfor vi ol at i ng the as se t f r e e z e . T h e m o tio n a lle g e d th a t K irk la n d h a d c a s h e d tw o c h e c k s is s u e d b y h is bank i n k no w i ng vi ol at i on of the as se tfr ee ze . T he t ot al of the tw o checks w as $3, 957. 73. T h e d is tr ic t c o u r t la te re n te r e d a n o r d e rth a t f o u n d K irk la n d in c iv il c ont e m pt . I tf

ound tha tK i rkl a nd ha d “ w i l l f ul l y vi ol a t e d the a s s e tf

r e e z e by3

c ont a c t i ng O hi o S a vi ngs B a nk, i ns truc t i ng the B a nk t o s t op pa y m e nton tw o c he c ks and m ai l re pl ac em entchec ks di re ct l y t o h i m , and cas hi ng the checks. ” T he court i m p o s e d a“ r e m e d i a l s a n c t i o n ” th a tr e q u i r e d Ki rk l a n d t o r e p a y th e t o t a l o f th e two c h e c k s in tw o e q u a l in s ta llm e n ts b y D e c e m b e r2 6 , 2 0 0 7 . K irk la n d th e n f ile d th is ap p e a l. A p p e l l a t e j u r i s d i c t i o n o r d i n a r i l y i s l i mi t e d t o “ f i n a l d e c i s i o n s . ” 2 8 U . S. C. § 1 2 9 1 . A f

in d in g o f c iv il c o n te m p t a g a in s t ap a r ty to a n o n g o in g p r o c e e d in g is i nt er l ocut ory a nd no tappeal abl e unt i l a f i nal decr ee i s i ss ued, subj ec tt o sever al exce pt i on s. H ow ar d Joh nson C o. v. K hi m ani , 89 2 F . 2d 15 12 , 15 15 (11th C i r. 19 90 ). A n o rderthati m po se s afi ne or penal ty f or cont em ptthatm ustbe ob ey ed w i thi n a ce rt ai n p er i od and m ayno tbe avoi ded b y s om e other f orm of com pl i ance is im m e d ia te ly ap p e a lab le , b u t a n o r d e ro f c o n te m p t th a t im p o s e s af in e o rp e n a lty th a t th e p a r ty in c o n te m p t c a n a v o id b y c o m p ly in g w ith th e e a r lie ro r d e ris i nt e r l oc ut ory a nd notappe a l abl e . C om bs v. R y a n’ s C oa l C o. , 785 F . 2d 970, 976 ( 11th C i r . 1986) . W he r e the di s tr i c tc our ti s e nga ge d i n a n “ on- goi ng i nt e rve nt i on, ” a s e vi de nc e d by ac ont e m ptor de rtha ti s “ s ubj e c tt o m odi f i c a t i on or appe a l , ” the e f

f e c tof i nt e rve nt i on by a n appe l l a t e c our tw oul d be “ t o t i e the ha nds of the di s tr i c tc our t , di m i ni s h c om pl i a nc e w i th i t s or de r s , a nd a ugm e nt[ the ap p e lla te c o u r t’s ] o w n w o rk lo a d .” I d . a t 9 7 7 . “T h e im p o s itio n o f s a n c tio n s . . . is4

apr e r e qui s i t e f

orappe l l a t e r e vi e w of

ac ont e m ptor de r . ” D on’ s P or t aS i gns , I nc . v. C i ty of C l ea rw at er , 82 9 F . 2d 10 51 , 10 53 n. 7 (11 th C i r. 19 87 ). T he or de rof

c i vi l c ont e m pte nt e r e d by the di s tr i c tc our ti s i nt e r l oc ut ory a nd notappe a l abl e . T he r e m e di a l s a nc t i on i s i nt e nde d t o a l l ow K i rkl a nd t o pur ge h im s e lf o f h is c o n te m p tu o u s c o n d u c t a n d c o m p ly w ith th e a s s e t f r e e z e . “A p p e lla te r e vi e w . . . w oul d be di s rupt i ve of w ha t[ i s ] obvi ous l y ac ont i nui ng e f f or ton the partof the di stri ctcourtt o p rod [K i rkl and] i nt o com pl i ance . ” C om bs, 78 5 F . 2d at 97 6. Iti s nota s anct i on thati s i m m edi at el y app ea l abl e. O n e o f o u rs is te rc ir c u its h a s r e a c h e d th e s a m e c o n c lu s io n in th is c i r c um s t a nc e . I n S e c ur i t i e s & E xc ha nge C om m i s s i on v. H i c ke y , 322 F . 3d 1123, 11 27 –2 8 (9th C i r. 20 03 ), the N i nth C i rc ui tconcl ud ed thatan order t o repaym on ey t a ke n i n vi ol a t i on of

a n a s s e tf

r e e z e w a s notas a nc t i on buti ns t e a d a l l ow e d a defe nd antthe “ op po rtun i ty t o p urge hi m se l f” of hi s c on t em ptby payi ng the m on ey ow e d w i thi n ac e r t a i n pe r i od. I d. T he H i c ke y c our tdi s m i s s e d the appe a l of the r e m e d ia l o r d e rb e c a u s e it w a s in te r lo c u to ry a n d n o t im m e d ia te ly ap p e a lab le . I d . W e d is m is s K irk la n d ’s ap p e a l f o rla c ko f

ju r is d ic tio n . DI S MI S S E D.