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U.S. v. ELLIOTT

Nos. 90-3696, 94-2020.

62 F.3d 1304 (1995)

UNITED STATES of America, Plaintiff-Appellee, v. Charles Phillip ELLIOTT, William Melhorn, Defendants-Appellants.

United States Court of Appeals, Eleventh Circuit.

August 31, 1995.

Attorney(s) appearing for the Case

Charles M. Harris, Asst. Federal Public Defender, Fort Myers, FL, for Elliott.

Helen H. Sundgren, Naples, FL, for Melhorn.

Anne R. Schultz, Asst. U.S. Atty., Miami, FL, for appellee.

Before ANDERSON and BIRCH, Circuit Judges, and JOHNSON, Senior Circuit Judge.

BIRCH, Circuit Judge:

In this appeal, we decide the first-impression issue for our circuit of the requirements for qualification as an investment adviser under the Investment Advisers Act of 1940, 15 U.S.C. §§ 80b-2(a)(11) and 80b-6. Because we conclude that managers of a number of investment companies were investment advisers who violated the anti-fraud provisions of the Investment Advisers Act, we AFFIRM their convictions. The district court, however,...

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