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S.E.C. v. ROGERS

No. 85-5841.

790 F.2d 1450 (1986)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Gerald L. ROGERS; International Exchange, S.A.; Compagnie Miniere Paul Isnard, S.A.R.L.; Diversiones Internacionales, S.A.; Norsul Oil Mining, Ltd.; Wayne E. Fowler; Paula Molina d/b/a Telecom, et al., Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

Decided June 3, 1986.

Attorney(s) appearing for the Case

David A. Sirignano, S.E.C., Washington, D.C. for plaintiff-appellant.

Pierce O'Donnell, O'Donnell & Gordon, Los Angeles, Cal., for defendants-appellees.

Before PREGERSON, BEEZER, and NOONAN, Circuit Judges.

PREGERSON, Circuit Judge.

The Securities and Exchange Commission ("SEC") appeals from the district court's finding that appellee Gerald Rogers did not substantially participate in three public offerings of tax-shelter investments promoted by International Monetary Exchange, S.A. ("IME"). The SEC charged Rogers with selling unregistered securities in violation of section 5 of the Securities Act of 1933 ("the 1933 Act"); using fraudulent practices in the sale of securities...

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