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IN RE BRENTWOOD SECURITIES, INC.

No. 88-6257.

925 F.2d 325 (1991)

In re BRENTWOOD SECURITIES, INC., Debtor. SECURITIES INVESTOR PROTECTION CORPORATION, Appellant, v. PEPPERDINE UNIVERSITY; Mina Kolb McMurray; John Birmingham; Mike E. O'Neal, Appellees.

United States Court of Appeals, Ninth Circuit.

Decided February 5, 1991.

Attorney(s) appearing for the Case

Theodore H. Focht, Michael E. Don, and William H. Seckinger, Securities Investor Protection Corp., Washington, D.C., and Vincent Tricarico, Clark & Trevithick, Los Angeles, Cal., for appellant.

Gary A. Hanson, Malibu, Cal., for appellee Pepperdine University.

Emilio T. Gurrola, McKiernan, Gurrola, Moriwaki & Brady, Los Angeles, Cal., for appellees Mina Kolb McMurray and John Birmingham.

Mike E. O'Neal, Malibu, Cal., pro se.

Before FLETCHER, NELSON and KOZINSKI, Circuit Judges.

KOZINSKI, Circuit Judge:

This case is about a securities broker-dealer that went bankrupt and some disappointed investors. We consider whether these investors are protected by the Securities Investor Protection Act (SIPA), 15 U.S.C. §§ 78aaa-78lll, and are thus entitled to payments from the insurance fund maintained by the Securities Investor Protection Corporation (SIPC).

I

Brentwood Securities, Inc. was a securities broker-dealer...

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