Legal Opinion
Securities & Exchange Commission v. Unique Financial Concepts, Inc.
Court of Appeals for the Eleventh Circuit
Decided November 18, 1999No. 99-4033PublishedCited by 64 opinions
1Opinion of the Court
BLACK, Circuit Judge:
Appellants Unique Financial Concepts, Inc. (Unique), Ernest J. Patti (Patti), Frederick N. Hollander (Hollander), and Nicholas D. DeAngelis (DeAngelis), appeal a preliminary injunction enjoining Appellants from violating the anti-fraud and securities registration provisions of Section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a). The district court found that Appellants’ activities were subject to the Securities Act because Appellants were offering investment contracts in which investor funds were to be pooled. The district court also found that the Commodity…
2Cases cited19 opinions
- Larry Bonner v. City of Prichard, AlabamaCourt of Appeals for the Eleventh Circuit · 1981
- John D. Williamson, Plaintiffs-Appellants-Cross v. Gordon G. Tucker, Defendants-Appellees-CrossCourt of Appeals for the Fifth Circuit · 1981
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- United Housing Foundation, Inc. v. FormanSupreme Court of the United States · 1975
- Securities & Exchange Commission v. C. M. Joiner Leasing Corp.Supreme Court of the United States · 1943
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3Cited by64 opinions
- American Civil Liberties Union of Florida, Inc. v. Miami-Dade County School BoardCourt of Appeals for the Eleventh Circuit · 2009
- Securities & Exchange Commission v. CalvoCourt of Appeals for the Eleventh Circuit · 2004
- Securities & Exchange Commission v. Merchant Capital, LLCCourt of Appeals for the Eleventh Circuit · 2007
- Securities & Exchange Commission v. ETS Payphones, Inc.Court of Appeals for the Eleventh Circuit · 2005
- Odebrecht Construction, Inc. v. Secretary, Florida Department of TransportationCourt of Appeals for the Eleventh Circuit · 2013
59 more not listed; retrieve them via the Exa API.