Legal Opinion
Securities and Exchange Commission v. Eurobond Exchange, Ltd., and Gerald L. Rogers, AKA J.K. Glenn
Court of Appeals for the Ninth Circuit
Decided January 7, 1994No. 91-55717PublishedCited by 28 opinions
1Opinion of the Court
LEAVY, Circuit Judge:
The Securities and Exchange Commission (“SEC”) brought this action against Gerald L. Rogers, president of the defendant Euro-bond Exchange, Ltd. (“Eurobond”), for violations of anti-fraud and registration provisions of the federal securities laws. The complaint charged Rogers with violating the registration provisions of Sections 5(a) and 5(c) of the Securities Act of 1933 (the “1933 Act”), 15 U.S.C. §§ 77e(a) and 77e(c); the anti-fraud provisions of Section 17(a) of the 1933 Act, 15 U.S.C. § 77q(a); and the anti-fraud provisions of Section 10(b) of the Securities…
2Cases cited11 opinions
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- Van Cauwenberghe v. BiardSupreme Court of the United States · 1988
- Fed. Sec. L. Rep. P 93,748 Securities and Exchange Commission v. Glenn W. Turner Enterprises, Inc.Court of Appeals for the Ninth Circuit · 1973
- United States v. RauscherSupreme Court of the United States · 1886
- Edward Ashton v. Kenneth CoryCourt of Appeals for the Ninth Circuit · 1986
6 more not listed; retrieve them via the Exa API.
3Cited by28 opinions
- United States v. Keith E. AndersonCourt of Appeals for the Ninth Circuit · 2006
- De Wit v. Firstar Corp.District Court, N.D. Iowa · 1995
- United States v. Stephen SaccocciaCourt of Appeals for the Ninth Circuit · 1994
- Securities & Exchange Commission v. Mutual Benefits Corp.Court of Appeals for the Eleventh Circuit · 2005
- DeWit v. Firstar Corp.District Court, N.D. Iowa · 1995
23 more not listed; retrieve them via the Exa API.