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UNITED STATES v. FARRIS

Nos. 78-2514, 78-2624 and 78-2905.

614 F.2d 634 (1979)

UNITED STATES of America, Appellee, v. Jamie Matlick FARRIS, Appellant. UNITED STATES of America, Appellee, v. Marcus Theodore BAUMANN, Appellant. UNITED STATES of America, Appellee, v. Carl Richard TAMUTY, Appellant.

United States Court of Appeals, Ninth Circuit.

Rehearing Denied March 19, 1980.

Attorney(s) appearing for the Case

Joseph R. Keilp, Asst. U. S. Atty., Phoenix, Ariz., for appellee.

Joseph B. Swan, Jr., Phoenix, Ariz., for appellant, Farris.

Atmore L. Baggot, Phoenix, for appellant, Baumann.

Barbara L. Caldwell, Phoenix, for appellant, Tamuty.

Before CARTER and GOODWIN, Circuit Judges, and PECKHAM, District Judge.

GOODWIN, Circuit Judge:

Jamie Matlick (Kelly) Farris and Marcus Theodore Baumann appeal their convictions on two counts each of securities fraud in violation of 15 U.S.C. § 77q(a). Carl Richard Tamuty appeals his conviction on nine counts of mail fraud in violation of 18 U.S.C. § 1341. We affirm in part, and reverse in part.

I. FACTS

The appellants were among 23 individuals and firms indicted for securities fraud and mail fraud in connection...

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