Unpublished Disposition, 936 F.2d 578 (9th Cir. 1989)

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U.S. Court of Appeals for the Ninth Circuit - 936 F.2d 578 (9th Cir. 1989)

Wallace E. LIN, Plaintiff-Appellant,v.SECURITIES & EXCHANGE COMMISSION, John Shad, Lani M. Lee,Richard P. Murphy, Bruce A. Hiller, William R.McLucas, George Fitzsimmons, Defendants-Appellees.

No. 89-16511.

United States Court of Appeals, Ninth Circuit.

Argued and Submitted June 14, 1991.Decided July 3, 1991.

Before HUG, SCHROEDER and WIGGINS, Circuit Judges.


Wallace Lin appeals the district court's order granting the appellees' motion to dismiss or in the alternative for summary judgment. Lin's complaint alleges primarily that a Securities and Exchange Commission ("SEC") investigation into his practices as an investment advisor was designed to harass him in violation of his constitutional rights. We have jurisdiction over Lin's appeal pursuant to 28 U.S.C. § 1291. The essential issues presented in this appeal are questions of law which we review de novo. United States v. McConney, 728 F.2d 1195, 1201 (9th Cir.), cert. denied, 469 U.S. 824 (1984).

For the reasons set forth by the district court in its comprehensive order dated August 22, 1989, we affirm the judgment of the district court. Specifically, we note the following: 1) the SEC is entitled to sovereign immunity as an agency of the United States; 2) the federal officials named as defendants by Lin are protected by qualified immunity, as their actions were discretionary in nature and did not violate clearly established constitutional rights; 3) defendant Shad's motion to dismiss was granted properly; and 4) Lin's Federal Tort Claims Act action was dismissed properly.



This disposition is not appropriate for publication and may not be cited to or by the courts of this circuit except as provided by 9th Cir.R. 36-3