United States Ninth Circuit
SEC. & EXCH. COMM'N v. J.T. WALLENBROCK & ASSOCS., 02-55481
Promissory notes purportedly secured by accounts receivable of Malaysian manufacturers constituted securities regulated under the Securities Act of 1933 and the Securities Act of 1934.
Appellate Information
- Argued 10/11/2002
- Decided 12/12/2002
- Published 12/12/2002
Judges
- McKEOWN, Circuit Judge., Before: GOODWIN, RYMER, and McKEOWN, Circuit Judges.
Court
- United States Ninth Circuit
Counsel
- For Appellant:
- Robert C. Rosen,John B. Wallace, and Dave Lenny, Rosen & Associates, Los Angeles, CA, for the appellants.
- For Appellees:
- Giovanni P. Prezioso, Meyer Eisenberg, Jacob H. Stillman, and Mark Pennington, Securities and Exchange Commission, Washington, DC, for the appellee.