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BUSCH v. CARPENTER

No. 84-2501.

827 F.2d 653 (1987)

Paul R. BUSCH and Linda T. Busch, Plaintiffs-Appellants, v. Craig CARPENTER, George R. Jensen, Ronald D. Burnett, and John Does 1-10, Defendants-Appellees, Securities and Exchange Commission, Amicus Curiae.

United States Court of Appeals, Tenth Circuit.

August 18, 1987.

Attorney(s) appearing for the Case

Wallace T. Boyack, of Boyack & Hansen, Salt Lake City, Utah, for plaintiffs-appellants.

Edward T. Wells, of Bottum & Wells, Salt Lake City, Utah, for defendant-appellee Carpenter.

Wallace R. Bennett, of counsel, of Callister & Nebeker, Salt Lake City, Utah, for defendants-appellees Jensen and Burnett.

Rosalind C. Cohen, Asst. Gen. Counsel, S.E.C., Washington, D.C. (Daniel L. Goelzer, Gen. Counsel, Jacob H. Stillman, Associate Gen. Counsel, Eric Summergrad, Sp. Counsel, Gerard Citera, Atty., and Paul Gonson, of counsel, Sol., S.E.C., Washington, D.C., with her on brief), for amicus curiae, S.E.C.

Before SEYMOUR and TACHA, Circuit Judges, and WEINSHIENK, District Judge.

SEYMOUR, Circuit Judge.

Paul and Linda Busch brought this action under 15 U.S.C. § 77l (1982) against Craig Carpenter, George Jensen, and Ronald Burnett to recover the purchase price of shares of stock in Sonic Petroleum, Inc. Plaintiffs alleged that the stock had not been registered as required by 15 U.S.C. § 77e(a) (1982), and that the stock did not qualify for the intrastate offering exemption set out in 15 U.S.C. § 77c(a)(11) (1982).

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