United States Eighth Circuit
US SEC. & EXCH. COMM'N v. ZAHAREAS, 00-3047
Under 15 USC 78c(a)(18), an underwriter who can refuse to sell IPO shares to a broker does not place the broker under "total control" of the underwriter.
Appellate Information
- Decided 11/29/2001
- Published 11/29/2001
Judges
- BYE, Circuit Judge., Before MORRIS SHEPPARD ARNOLD, BRIGHT, and BYE, Circuit Judges.
Court
- United States Eighth Circuit
Counsel
- For Appellant:
- James H. Schropp, Washington, D.C., argued, for appellant.
- For Appellees:
- Allen A. Capute, SEC, Washington, D.C., argued, for appellee.