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TRUST & INV. ADVISERS, INC. v. HOGSETT

No. 93-2117.

43 F.3d 290 (1994)

TRUST & INVESTMENT ADVISERS, INCORPORATED, Plaintiff-Appellant, v. Joseph H. HOGSETT, Secretary of State of Indiana, in his official capacity and Miriam Smulevitz Dant, Indiana Securities Commissioner, individually and in her official capacity, Defendants-Appellees.

United States Court of Appeals, Seventh Circuit.

Decided December 19, 1994.

Attorney(s) appearing for the Case

B. Keith Shake (argued), Thomas A. Withrow, and O. Wayne Davis, Henderson, Daily, Withrow & Devoe, Indianapolis, IN, for plaintiff-appellant.

John Thomas Roy and Richard E. Shevitz (argued), Office of the Atty. Gen., Indianapolis, IN, for defendants-appellees.

Before FLAUM, and ROVNER, Circuit Judges, and WILLIAMS, District Judge.

ANN CLAIRE WILLIAMS, District Judge.

Plaintiff Trust & Investment Advisers, Inc. ("TIA"), an Indiana financial investment company, is the subject of an Indiana Securities Division ("Division") administrative proceeding. The Division seeks to revoke, or at least suspend, TIA's registration as an investment advisor with the Division because TIA allegedly failed to properly supervise the activities of Robert W. Rousey, one...

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