Legal Opinion
SWANK FEDERAL CREDIT U. v. CH Wagner & Co., Inc.
District Court, D. Massachusetts
Decided December 17, 1975No. Civ. A. 71-2038-T, 71-2618-TPublishedCited by 2 opinions
1Opinion of the Court
TAURO, District Judge.
These actions are brought by two federally-chartered employees’ credit unions seeking to enforce the civil liabilities of Section 12(1) of the Securities Act of 1933, 15 U.S.C. § 77i(l), in connection with the sale to them of certificates of deposit [CD] which were not accompanied by a registration statement approved by the Securities and Exchange Commission.
The original defendants in each case were C. EL Wagner & Co. [Wagner Co.], the Boston brokerage firm through which the CDs were bought, Clarence Wagner, the President of Wagner Co. at the time of the transactions in…
2Cases cited11 opinions
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- 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
- Fed. Sec. L. Rep. P 93,213 Hill York Corporation v. American International Franchises, Inc., Gurn H. FreemanCourt of Appeals for the Fifth Circuit · 1971
- Katz v. Amos Treat & Co.Court of Appeals for the Second Circuit · 1969
- Continental Marketing Corporation v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 1967
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3Cited by2 opinions
- Adams v. Hyannis Harborview, Inc.District Court, D. Massachusetts · 1993
- Kaufman v. MagidDistrict Court, D. Massachusetts · 1982