United States Supreme Court
SEC v. ZANDFORD, 01-147
A complaint for fraud and misappropriation of proceeds from securities transactions, against a broker in connection with management of an investment account, sufficiently alleged conduct "in connection with the purchase or sale of any security" under the Securities Exchange Act of 1934 and SEC Rule 10(b)(5).
Appellate Information
- Decided 06/03/2002
- Published 06/03/2002
Judges
Court
- United States Supreme Court