Opinion ID: 737499
Heading Depth: 2
Heading Rank: 1

Heading: Merriam.

Text: 7 On March 7, 1994 the SEC filed a civil complaint against Merriam and The Vintage Group, Inc. (Vintage) involving the allegations later filed in the criminal case plus others. The complaint alleged violations of, inter alia, 15 U.S.C. §§ 77e(a) and (c), 77q(a), 78j(b), 80a-35(a), and 78m(a) as well as 17 C.F.R. §§ 240.10b-5, .12b-20, .13a-1 and .13a-13. 8 On October 20, 1994 a consent judgment was filed and signed by the district court. In that judgment, Merriam consented to the lifetime bar that is the basis for his double jeopardy claim. The consent judgment provides that Merriam is permanently barred from acting or serving as an officer or director of any issuer either having a class of securities registered pursuant to Section 12 of the Exchange Act [15 U.S.C. § 78l], or that is required to file reports pursuant to Section 15(d) of the Exchange Act [15 U.S.C. § 78o(d) ].... 9