Legal Opinion
Fed. Sec. L. Rep. P 93,517 Henry T. Sanders v. John Nuveen & Co., Inc., Henry T. Sanders v. John Nuveen & Co., Inc.
Court of Appeals for the Seventh Circuit
Decided June 9, 1972No. 71-1163, 71-1164PublishedCited by 79 opinions
1Opinion of the Court
SPRECHER, Circuit Judge.
This appeal raises two principal issues: (1) whether promissory notes with a maturity not exceeding nine months but offered to the public as an investment are “securities” within the definition of the Securities Exchange Act of 1934 and (2) whether the representative of an antagonistic class can properly intervene and assume representation of the plaintiff class without notice to the members of that class ?
Plaintiff, Henry T. Sanders, filed his complaint on March 12, 1970, against John Nuveen & Co., Inc., a broker-dealer in securities, one of its registered…
2Cases cited7 opinions
- Affiliated Ute Citizens of Utah v. United StatesSupreme Court of the United States · 1972
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- Tcherepnin v. KnightSupreme Court of the United States · 1967
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Anderson v. Francis I. duPont & Co.District Court, D. Minnesota · 1968
2 more not listed; retrieve them via the Exa API.
3Cited by79 opinions
- John D. Williamson, Plaintiffs-Appellants-Cross v. Gordon G. Tucker, Defendants-Appellees-CrossCourt of Appeals for the Fifth Circuit · 1981
- Fed. Sec. L. Rep. P 95,614 the Exchange National Bank of Chicago v. Touche Ross & Co.Court of Appeals for the Second Circuit · 1976
- Fed. Sec. L. Rep. P 96,030 Henry T. Sanders v. John Nuveen & Co., Inc.Court of Appeals for the Seventh Circuit · 1977
- Fed. Sec. L. Rep. P 95,494 Great Western Bank & Trust v. Sol KotzCourt of Appeals for the Ninth Circuit · 1976
- Fed. Sec. L. Rep. P 93,903 Herman L. Zeller v. Bogue Electric Manufacturing CorporationCourt of Appeals for the Second Circuit · 1973
74 more not listed; retrieve them via the Exa API.