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S.E.C. v. COCHRAN

No. 99-6157.

214 F.3d 1261 (2000)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff—Appellant, v. Robert M. COCHRAN, Defendant—Appellee, James V. Pannone; Steven S. Strauss; Sakura Global, Defendants.

United States Court of Appeals, Tenth Circuit.

June 8, 2000.

Attorney(s) appearing for the Case

Eric Summergrad, Deputy Solicitor (Harvey J. Goldschmid, General Counsel; Christopher Paik, Special Counsel; and Meyer Eisenberg, Deputy General Counsel, with him on the briefs), Securities and Exchange Commission, Washington, D.C., for the appellant.

Bernard J. Rothbaum (Drew Neville and Russell Cook with him on the brief), Linn & Neville, P.C., Oklahoma City, OK, for the appellee.

Before LUCERO, McKAY and MURPHY, Circuit Judges.

LUCERO, Circuit Judge.

This securities fraud action arises from the alleged acts and omissions of an employee of a bond underwriter that occurred while he was advising governmental agencies regarding the issuance of bonds and the interim reinvestment of the proceeds from the bond issues. We must resolve two questions: first, whether the underwriter's employee owed those agencies a duty to disclose his alleged "rigging" of reinvestment contract bids and payments made...

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