W. David HOLLOWAY, M.D.; Lisa Holloway; Charles Woodard; Linda Woodard; Maxine Black, individually and as Trustee for James T. Black and Shellie Black; Porter-Strait Instrument Co., Inc., an Oklahoma corporation; Jeremy K. Bush; Shirley Bush; United Resources Building Company, Inc., an Oklahoma corporation; Hugh Hollowell; Marshall H. Udden; Mary F. Udden; Howard R. Cadwell; Doris G. Cadwell; William L. Akers; Norita L. Akers; Cal Acree; Betty K. Acree; Robert John Walpole; Bobbee C. Ray, individually and as Trustee for James F. Haning, II and Angela Jean Haning Revocable Trust and Victoria Nininger; Joy A. Donovan, as Trustee for James M. Donovan and John A. Donovan; R.H. Arnold; Marvelle McDaniel; Martha Hester Arnold; Claudette Howe; Fred E. Miller; Vera Miller; Beverly Joyce Miller; Ann McLoud; Joyce McClure; Charlotte A. Broad, individually and as Trustee for Russell M. Gawf and Megan D. Gawf; John E. Broad; John W. Broad; DeWayne Broad, for themselves and as representative parties of class, Plaintiffs/Appellees/Cross-Appellants,
v.
PEAT, MARWICK, MITCHELL & CO., a partnership; Sunbelt Bank & Trust Company, formerly Republic Bank & Trust Co., a State Bank Association; Wesley R. McKinney, individually; Phillips Breckinridge, Administrator of the Estate of Glenn F. Prichard, Deceased; RBI of Oklahoma, Inc., a Delaware corporation; R.R. Bastian, III; Hal W. Oswalt; Harold J. Born; William J. Doyle, Jr.; Horace H. Porter, M.D.; William W. Ramsey; Edward B. Wilcox; Altus E. Wilder, III; G. Larry Young; Orville J. Bertalot; Ted C. Bodley; Keith E. McNeal; Edward L. Taylor; Charles G. Wray; Ansil Ludwick, Jr.; Paul W. Anderson, Jr.; G. Richard Degen; Brown J. Akin, Jr.; Robert C. Bates; Richard G. Bell; Bob C. Lamirand; Douglas W. Dixon; Rodney Miller; Dan W. Allred; Timothy J. Sullivan; Dwight A. Pilgram; Roger H. Laubach; James D. Essig; Martha J. Cravens; Wilma F. Wood; Charles Schusterman; Richard Williford; Republic Bancorporation, Inc., also known as Sunbelt Bancorporation, Inc., an Oklahoma corporation, Defendants/Appellants/Cross-Appellees.
United States Court of Appeals, Tenth Circuit.https://leagle.com/images/logo.png
July 11, 1989.
July 11, 1989.
Attorney(s) appearing for the Case
Lawrence H. Eiger (Michael B. Hyman and Steven A. Kanner, of Much, Shelist, Freed, Denenberg, Ament & Eiger, P.C., Chicago, Ill., Steven E. Smith, of Steven E. Smith & Associates, Tulsa, Okl., Charles O. Hanson, Richard K. Holmes, and Stewart E. Field, of Hanson, Holmes, Field & Snider, of Tulsa, Okl., and Professor Joseph C. Long, of the University of Oklahoma, College of Law, Norman, Okl., with him on the briefs), of Much, Shelist, Freed, Denenberg, Ament & Eiger, P.C., Chicago, Ill., for plaintiffs/appellees/cross-appellants.
L.K. Smith (Kimberly A. Lambert, of Boone, Smith, Davis & Hurst, Tulsa, Okl., with him on the briefs), of Boone, Smith, Davis & Hurst, of Tulsa, Okl., for defendants/appellants/cross-appellees except Peat, Marwick, Mitchell & Co.
Graydon Dean Luthey, Jr. (Deryl L. Gotcher and Roy C. Breedlove, of Jones, Givens, Gotcher, Bogan & Hilborne, a Professional Corporation, Tulsa, Okl., and Anthony J. Costantini, Associate Gen. Counsel, of Peat, Marwick, Main & Co., of New York City, with him on the briefs), of Jones, Givens, Gotcher, Bogan & Hilborne, a Professional Corp., Tulsa, Okl., for defendants/appellants/cross-appellees Peat, Marwick, Mitchell & Co.
Daniel L. Goelzer, Gen. Counsel, Jacob H. Stillman, Associate Gen. Counsel, Rosalind C. Cohen, Asst. Gen. Counsel, and Batya Roth, Atty., of the S.E.C., Washington, D.C., amicus curiae.
Before McKAY, BARRETT, and TACHA, Circuit Judges.
United States Court of Appeals, Tenth Circuit.
TACHA, Circuit Judge.
The issue presented in this interlocutory appeal is whether certain instruments issued by three Oklahoma entities — Republic Bancorporation, Inc. (RBI), and its two nonbank subsidiaries, Republic Trust & Savings (RTS), a trust company, and Republic Financial Corporation (RFC), a finance company — are securities within the meaning of the federal securities laws. We hold that the instruments issued by RFC and RTS are securities...
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