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BRODT v. BACHE & CO., INC.

No. 76-1763.

595 F.2d 459 (1978)

Robert T. BRODT and Nancy J. Brodt, his wife, Plaintiffs-Appellants, v. BACHE & CO., INC., a Delaware Corporation, Commonwealth Commodities Corp., an Arizona Corporation, John Bergman and Jane Doe Bergman, his wife, Robert Plenge and Jane Doe Plenge, his wife, Randy Thomas and Jane Doe Thomas, his wife, Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

Rehearing Denied May 10, 1979.

Attorney(s) appearing for the Case

Jack E. Evans (argued), Phoenix, Ariz., for plaintiffs-appellants.

Arthur P. Greenfield (argued), Snell & Wilmer, Phoenix, Ariz., for defendants-appellees.

Before CHOY and SNEED, Circuit Judges, and KELLEHER, District Judge.

KELLEHER, District Judge.

This case presents a question of whether a discretionary commodities trading account is an investment contract and therefore a security within the meaning of and subject to the registration requirements of the Securities Act of 1933, 15 U.S.C. § 77a, et seq. The District Court held that such an account was not an investment contract. We affirm.

During 1974 appellee Bergman, a registered representative of appellee Bache...

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