United States First Circuit

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US v. Weed, 16-2120

Affirming the district court's denial of a securities lawyer's novel argument that two former stockbrokers for whom he produced false opinion letters in connection to a pump and dump scheme fell into the safe harbor provision of securities law because the stockbrokers were affiliates of the issuing company and ineligible for safe harbor and other procedural complaints were ill-founded.

Appellate Information

  • Argued
  • Submitted
  • Decided
  • Published 2017/10/06




  • United States First Circuit


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