Legal Opinion
Nelson v. Serwold
Court of Appeals for the Ninth Circuit
Decided April 3, 1978No. Nos. 76-1001, 75-3833PublishedCited by 130 opinions
1Per curiam
The plaintiff, Kenneth N. Nelson, was awarded $3,003.48 plus interest and costs in this 10b-5 action against defendants Serwold. They were found to have violated Rule 10b-5 of the regulations promulgated under § 10(b) of the 1934 Securities and Exchange Act (hereinafter “Act”), and its Washington counterpart, RCW § 21.20.010, by failing to reveal the existence of the “control group” under which 56% of a telephone company’s stock, held in the name of O. E. Serwold, was in fact beneficially owned by Serwold and other members of the “group,” and by failing to disclose an informal, long-range…
2Cases cited8 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Affiliated Ute Citizens of Utah v. United StatesSupreme Court of the United States · 1972
- Fed. Sec. L. Rep. P 93,959 Frank Lanza, Jr. v. Drexel & Co., Theodore J. Kircher and Christie F. VitoloCourt of Appeals for the Second Circuit · 1973
- Myzel v. FieldsCourt of Appeals for the Eighth Circuit · 1967
- John B. Janigan v. Frederick B. TaylorCourt of Appeals for the First Circuit · 1965
3 more not listed; retrieve them via the Exa API.
3Cited by130 opinions
- In Re Silicon Graphics Inc. Securities Litigation. Edmund J. Janas v. Edward R. McCracken Michael Ramsay Robert K. Burgess Thomas J. Oswald Teruyasu Sekimoto Forest Baskett Stephen Goggiano William M. Kelly Lucille Shapiro Silicon Graphics, Inc., Deanna Brody Andrea S. Donald Israel Buck Ruth Buck Denise Struthers Thomas G. Di Cicco Ira Steven B. Ewall Rosalyn Golaine Jerry Krim Mary Anne Beke Herman Grossman Samuel J. Reiner Dennis Lucas v. Edward R. McCracken Michael Ramsay Robert K. Burgess Thomas J. Oswald Teruyasu Sekimoto Forest Baskett Stephen Goggiano William M. Kelly Lucille Shapiro Silicon Graphics, Inc.Court of Appeals for the Ninth Circuit · 1999
- Kay Hollinger Richard Llewelyn Jones Edward E. Nissen Judy D'Arcy K-Judy, Ltd. v. Titan Capital Corp. Emil Wilkowski Painter Financial Group, Ltd.Court of Appeals for the Ninth Circuit · 1990
- Joan C. Howard v. Everex Systems, Inc., Steven L.W. Hui Michael C.Y. Wong Wong's International (Holdings) Limited Gatcombe Corp. N.V.Court of Appeals for the Ninth Circuit · 2000
- Fed. Sec. L. Rep. P 96,861 Gerald Mansbach v. Prescott, Ball & TurbenCourt of Appeals for the Sixth Circuit · 1979
- Burgess v. Premier Corp.Court of Appeals for the Ninth Circuit · 1984
125 more not listed; retrieve them via the Exa API.