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BLINDER, ROBINSON & CO., INC. v. GOETTSCH

No. 86-440.

403 N.W.2d 772 (1987)

BLINDER, ROBINSON & CO., INC., Meyer Blinder, Larry Blinder, and Harold Gordon, Appellants, v. Craig A. GOETTSCH, Superintendent of Securities for the State of Iowa, Appellee.

Supreme Court of Iowa.

April 15, 1987.

Attorney(s) appearing for the Case

Jerry E. Williams and Michael W. Thrall of Nyemaster, Goode, McLaughlin, Emery & O'Brien, P.C., Des Moines, and Alan C. Jacobson, Englewood, Colo., for appellants.

Thomas J. Miller, Atty. Gen., Joanne MacKusick and William F. Raisch, Asst. Attys. Gen., for appellee.

Considered by HARRIS, P.J., and SCHULTZ, CARTER, WOLLE, and LAVORATO, JJ.

CARTER, Justice.

The superintendent of securities has sought to censure, suspend, or revoke the licenses of the petitioners, who are securities brokers and salesmen, for alleged willful violations of the Iowa Uniform Securities Act. Petitioners urge as a defense that certain of the transactions involved were exempt from the proscriptions of that act under the provisions of Iowa Code section 502.203(1) (1985), exempting any "isolated nonissuer transaction." In addition...

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