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JOHNSON v. COLIP

No. 41S04-9511-CV-1316.

658 N.E.2d 575 (1995)

Allen JOHNSON and Li Yen Johnson, On Behalf of Themselves and All Others Similarly Situated, Appellants-Plaintiffs, v. Gary COLIP, Appellees-Defendants.

Supreme Court of Indiana.

November 30, 1995.

Attorney(s) appearing for the Case

Steven H. Frank, Carter & Leerkamp, Indianapolis, James F.T. Sargent, Sargent & Meier, Greenwood, for appellant.

R. Reid Nelson, Hume Smith Geddes & Green, Indianapolis, for appellee.

ON PETITION TO TRANSFER

SULLIVAN, Justice.

This case requires us to explore the circumstances under which a securities lawyer who attends a meeting of prospective investors can be held to be an "agent" of the securities' issuer as that term is defined in the Indiana Securities Act (the "Act").

Facts

Gary Colip, an attorney, was retained in early 1983 to incorporate and represent a corporation established to serve as general partner...

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