Legal Opinion
Carpenter v. Harris, Upham & Co.
Court of Appeals for the Fourth Circuit
Decided March 13, 1979No. Nos. 77-2051, 77-2052, 77-2181, 77-2182PublishedCited by 28 opinions
1Opinion of the Court
WALTER E. HOFFMAN, Senior District Judge:
These cases are appeals from summary judgment granted in favor of Harris, Up-ham & Company, Inc. (Harris, Upham), a securities brokerage firm. The appellants sought to hold Harris, Upham liable for losses appellants incurred as purchasers of unregistered securities. The scheme involved investment in cattle and grain contracts purchased from companies operated by Wallace McKinney, a Kansas rancher. A central figure in the sale of the contracts was Gresham Northcott, a commodities broker employed by Harris, Upham’s Charlotte, North Carolina, office until…
2Cases cited9 opinions
- First Nat. Bank of Ariz. v. Cities Service Co.Supreme Court of the United States · 1968
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Fed. Sec. L. Rep. P 93,959 Frank Lanza, Jr. v. Drexel & Co., Theodore J. Kircher and Christie F. VitoloCourt of Appeals for the Second Circuit · 1973
- Bertha Hecht, and v. Harris, Upham & Co., a Partnership, Harris, Upham & Co., Inc., a Corporation, AndCourt of Appeals for the Ninth Circuit · 1970
- Evelyn Edmondson Bland v. Norfolk and Southern Railroad Company, IncorporatedCourt of Appeals for the Fourth Circuit · 1969
4 more not listed; retrieve them via the Exa API.
3Cited by28 opinions
- Kay Hollinger Richard Llewelyn Jones Edward E. Nissen Judy D'Arcy K-Judy, Ltd. v. Titan Capital Corp. Emil Wilkowski Painter Financial Group, Ltd.Court of Appeals for the Ninth Circuit · 1990
- Lustgraaf v. BehrensCourt of Appeals for the Eighth Circuit · 2010
- In Re Initial Public Offering Securities LitigationDistrict Court, S.D. New York · 2003
- In Re MicroStrategy, Inc. Securities LitigationDistrict Court, E.D. Virginia · 2000
- Fed. Sec. L. Rep. P 96,874 First Interstate Bank of Denver, N.A. And Jack K. Naber v. Roy I. Pring and Central Bank and Trust Company of DenverCourt of Appeals for the First Circuit · 1992
23 more not listed; retrieve them via the Exa API.