Legal Opinion
Securities & Exchange Commission v. Rogers
Court of Appeals for the Ninth Circuit
Decided June 3, 1986No. 85-5841PublishedCited by 2 opinions
1Opinion of the Court
PREGERSON, Circuit Judge.
The Securities and Exchange Commission (“SEC”) appeals from the district court’s finding that appellee Gerald Rogers did not substantially participate in three public offerings of tax-shelter investments promoted by International Monetary Exchange, S.A. (“IME”). The SEC charged Rogers with selling unregistered securities in violation of section 5 of the Securities. Act of 1933 (“the 1933 Act”); using fraudulent practices in the sale of securities in violation of section 17(a)(1) of the 1933 Act and section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5…
2Cases cited27 opinions
- Anderson v. City of Bessemer CitySupreme Court of the United States · 1985
- United States v. United States Gypsum Co.Supreme Court of the United States · 1948
- Zenith Radio Corp. v. Hazeltine Research, Inc.Supreme Court of the United States · 1971
- United States v. Winston Bryant McConneyCourt of Appeals for the Ninth Circuit · 1984
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
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3Cited by2 opinions
- Securities And Exchange Commission v. RogersCourt of Appeals for the Ninth Circuit · 1986
- Schouten v. CommissionerUnited States Tax Court · 1991