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SAFEWAY PORTLAND EMP. FED. CR. UN. v. WAGNER & CO., INC.

No. 72-1429.

501 F.2d 1120 (1974)

SAFEWAY PORTLAND EMPLOYEES' FEDERAL CREDIT UNION, a Federal Credit Union, Plaintiff-Appellee, v. C. H. WAGNER & CO., INC., a Massachusetts corporation, et al., Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

August 5, 1974.

Attorney(s) appearing for the Case

William E. Hurley (argued), Bernard, Hurley, Hodges & Kneeland, Portland, Or., for defendants-appellants.

Edward L. Fitzgibbon (argued), Portland, Or., for plaintiff-appellee.

Walter P. North, Acting Gen. Counsel, Securities and Exchange Commission (argued), Washington, D. C., for amicus curiae.

Before DUNIWAY and SNEED, Circuit Judges, and BEEKS, District Judge.

OPINION

BEEKS, District Judge:

This appeal challenges the lower court's determination that defendants violated Title I, Sec. 5(a) of the Securities Act of 1933 ("Act"), 15 U.S.C. § 77e(a), by using the mails to sell plaintiff unregistered securities.1

Safeway Portland Employees' Federal Credit Union ("Credit Union") is a federal credit union established pursuant to 12 U...

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