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Zacharias v. SEC, No. 08-1134

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By FindLaw Staff on June 23, 2009 1:50 PM

In a petition for review of the SEC's finding of securities law violations by Petitioners, the petition is granted in part, where the SEC failed to explain its finding that certain omissions by Petitioners involved a material fact; but denied in part, where the scheme at issue clearly involved an "underwriter," which refuted Petitioners' theory that they properly relied on the Regulation S and Section 4 exemptions.

Read Zacharias v. SEC, No. 08-1134

Appellate Information

Argued March 5, 2009

Decided June 23, 2009

Judges

Per Curiam.

Opinion dissenting in part filed by Senior Circuit Judge WILLIAMS.

Counsel

For Petitioners:

Jeffrey J. Scott

David A. Zisser, Isaacson Rosenbaum P.C., Denver, CO 

Thomas D. Birge, Birge & Minckley P.C., Centennial, CO

For Respondents:

Randall W. Quinn, Assistant General Counsel, Securities & Exchange Commission, Washington, DC

Andrew N. Vollmer, Acting General Counsel, Securities & Exchange Commission, Washington, DC

Jacob H. Stillman, Solicitor, Securities & Exchange Commission, Washington, DC

Benjamin L. Schiffrin, Securities & Exchange Commission, Washington, DC

Brian G. Cartwright, Securities & Exchange Commission, Washington, DC

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