United States Ninth Circuit
MCNABB v. SEC. & EXCH. COMM'N, 00-71528
Promissory notes sold to clients were securities under section 3(a)(10) of the Securities and Exchange Act of 1934. Award of sanctions is upheld where broker sold notes without notice to his employer.
Appellate Information
- Decided 08/12/2002
- Published 08/12/2002
Judges
Court
- United States Ninth Circuit