United States Ninth Circuit

Evidence that broker recommended short-term sales of mutual fund interests to some clients and short-term purchases of the previously sold mutual fund interests to other clients supports finding that broker made unsuitable investment recommendations.

Appellate Information

• Argued 01/12/2001
• Decided 04/26/2001
• Published 04/26/2001

Judges

• McKEOWN, Circuit Judge:, Before:  McKEOWN, WILLIAM A. FLETCHER, RAWLINSON, Circuit Judges.

Court

• United States Ninth Circuit

Counsel

• For Appellant:
  
• Frederick Davis Huebner,Cable, Langenbach, Kinerk & Bauer, LLP, Seattle, Washington, for the petitioner-appellant.


• For Appellees:
  
• Allan A. Capute, Securities and Exchange Commission, Washington, D.C., for the respondent-appellee.