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U.S. v. BINGHAM

No. 92-10040.

992 F.2d 975 (1993)

UNITED STATES of America, Plaintiff-Appellee, v. Alton Clark BINGHAM, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Decided May 7, 1993.

Attorney(s) appearing for the Case

Dominic P. Gentile, Gentile, Porter & Kelesis, Las Vegas, NV, for defendant-appellant.

Joseph P. Dion, Asst. U.S. Atty., Las Vegas, NV, for plaintiff-appellee.

Before: NORRIS, BEEZER, and KLEINFELD, Circuit Judges.

PER CURIAM:

Alton Clark Bingham lied about his name when he sold securities through a brokerage firm. We consider whether that lie constituted securities fraud under 17 C.F.R. § 240.10b-5 (1992) ("Rule 10b-5").

Bingham sold securities through a brokerage firm under the name of his recently deceased client, Howard Laverne Crow, for whom Bingham had served as an accountant. The securities he sold were issued by...

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