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S.E.C. v. EUROBOND EXCHANGE, LTD.

No. 91-55717.

13 F.3d 1334 (1994)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. EUROBOND EXCHANGE, LTD., Defendant, and Gerald L. Rogers, aka J.K. Glenn, Defendant-Appellant.

United States Court of Appeals, Ninth Circuit.

Submission Deferred March 1, 1993.

Resubmitted June 21, 1993.

Submission Withdrawn August 24, 1993.

Resubmitted October 25, 1993.

Decided January 7, 1994.

Attorney(s) appearing for the Case

Gerald L. Rogers, in pro per.

Brian D. Bellardo and Susan B. Mann, Sr. Counsel, S.E.C., Washington, DC, for plaintiff-appellee.

Sara Criscitelli, Associate Director, Office of Intern. Affairs, Dept. of Justice, Washington, DC, for amicus curiae.

Before: PREGERSON, LEAVY, and TROTT, Circuit Judges.

LEAVY, Circuit Judge:

The Securities and Exchange Commission ("SEC") brought this action against Gerald L. Rogers, president of the defendant Eurobond Exchange, Ltd. ("Eurobond"), for violations of anti-fraud and registration provisions of the federal securities laws. The complaint charged Rogers with violating the registration provisions of Sections 5(a) and 5(c) of the Securities Act of 1933 (the "1933 Act"), 15 U.S.C. §§ 77e(a) and 77e(c); the anti-fraud...

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