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CARPENTER v. HARRIS, UPHAM & CO., INC.

Nos. 77-2051, 77-2052, 77-2181, 77-2182.

594 F.2d 388 (1979)

Thomas S. CARPENTER and Elliott Taylor, Appellants, v. HARRIS, UPHAM & COMPANY, INC., Appellee. Joseph WARREN, III, Mark B. Edwards, and Edwards & Warren, Professional Association, Appellants, v. HARRIS-UPHAM AND COMPANY, Appellee. Eldo GROGAN, William Mills, and Gene Patton, Appellants, v. HARRIS, UPHAM & COMPANY, INC., Appellee. Michael B. ALLRAN, Edward R. Anderson, A. J. Beall, Jr., Anne C. Hawley, Barbara Morgan, Robert S. Morgan, G. F. Parker, Samuel White, R. W. Cannon, Dominic Capelli, Pauline Capelli, Frank W. Cayce, John Gaylord, Jr., John A. Jenks, Frank Manship, Appellants, v. HARRIS, UPHAM & COMPANY, INC., Appellee.

United States Court of Appeals, Fourth Circuit.

Decided March 13, 1979.

Attorney(s) appearing for the Case

Harry C. Hewson, Charlotte, N. C. (Jones, Hewson & Woolard, Charlotte, N. C., on brief), for appellants in No. 77-2051.

William E. Underwood, Jr., Charlotte, N. C. (Caudle, Underwood & Kinsey, Charlotte, N. C., on brief), for appellants in No. 77-2052.

J. Douglas Stewart, Gainesville, Ga. (Telford, Stewart & Stephens, Gainesville, Ga., on brief), for appellants in No. 77-2181.

Robert G. McClure, Jr., Asheville, N. C. (Long, McClure & Dodd, Asheville, N. C., on brief), for appellants in No. 77-2182.

James H. Abrams, Jr., Charlotte, N. C. (William K. Diehl, Jr., James, McElroy & Diehl, Charlotte, N. C., on brief), for appellee in Nos. 77-2051, 77-2052, 77-2181 and 77-2182.

Before WIDENER and HALL, Circuit Judges, and HOFFMAN, Senior District Judge.

WALTER E. HOFFMAN, Senior District Judge:

These cases are appeals from summary judgment granted in favor of Harris, Upham & Company, Inc. (Harris, Upham), a securities brokerage firm. The appellants sought to hold Harris, Upham liable for losses appellants incurred as purchasers of unregistered securities. The scheme involved investment in cattle and grain contracts purchased from companies operated by Wallace McKinney, a Kansas rancher. A central figure in the...

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