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UPTON v. TRINIDAD PETROLEUM CORP.

No. 79-2109.

652 F.2d 424 (1981)

W. D. UPTON, Plaintiff-Appellee Cross-Appellant, v. TRINIDAD PETROLEUM CORPORATION, a corporation, Charles D. Beard, Jr., an Individual, Defendants-Appellants Cross-Appellees.

United States Court of Appeals, Fifth Circuit. Unit B.

August 3, 1981.

Attorney(s) appearing for the Case

S. P. Keith, Jr., Birmingham, Ala., for defendants-appellants cross-appellees.

Ritchie, Rediker & Warren, J. Michael Rediker, Birmingham, Ala., for plaintiff-appellee cross-appellant.

James T. Pitts, Chief Counsel, Harvey L. Bell, Little Rock, Ark., for amicus curiae Arkansas Securities Dept.

Frank E. Marley, Jr., Oklahoma City, Okl., for amicus curiae Oklahoma Dept. of Securities.

Thomas R. McAlpine, Montgomery, Ala., Benjamin J. Isaacs, Frankfort, Ky., for amicus curiae State of Ala.

Before JONES, FAY and HENDERSON, Circuit Judges.

HENDERSON, Circuit Judge:

The appellee, W. D. Upton, filed this action against appellants Trinidad Petroleum Corporation (hereinafter referred to as "Trinidad") and Charles D. Beard, Jr., on February 24, 1976 in the United States District Court for the Northern District of Alabama. The complaint asserted violations of the registration provision of the federal securities laws, 15 U.S.C.A. § 77e, the Alabama securities registration requirement, Code of Alabama...

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