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HARDEN v. RAFFENSPERGER, HUGHES & CO., INC.

No. 94-2892.

65 F.3d 1392 (1995)

Naomi O. HARDEN, Antonia Mucci, Concetta Mucci, Ward O. Hughes, Jr., and Evelyn M. Hughes, for themselves and on behalf of all other similarly situated noteholders of Firstmark Corporation, Plaintiffs-Appellees, v. RAFFENSPERGER, HUGHES & CO., INC., Defendant-Appellant.

United States Court of Appeals, Seventh Circuit.

Decided September 15, 1995.

Rehearing Denied October 17, 1995.

Attorney(s) appearing for the Case

Gene R. Leeuw, Charleyne Gabriel (argued), Klineman, Rose & Wolf, Indianapolis, IN, for Naomi O. Harden, James G. Harden, Antonia Mucci, Concetta Mucci, Evelyn M. Hughes.

Roger L. Taylor (argued), Thomas E. Dutton, James W. Rankin, Kirkland & Ellis, Chicago, IL, Anne H. Weinheimer, Indianapolis, IN, for Raffensperger, Hughes & Company, Incorporated.

Jacob H. Stillman, Securities & Exchange Commission, Office of the General Counsel, Washington, DC, for amicus curiae Securities and Exchange Commission.

Before BAUER, REAVLEY and RIPPLE, Circuit Judges.

RIPPLE, Circuit Judge.

This interlocutory appeal presents three certified questions from the district court. We must consider whether a person who acts as a "qualified independent underwriter" pursuant to the rules of the National Association of Securities Dealers ("NASD") is subject to underwriters' liability under section 11 of the Securities Act of 1933. The district court concluded that qualified independent underwriters are subject to section 11 liability and...

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