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BASS v. JANNEY MONTGOMERY SCOTT, INC.

Nos. 98-6150, 98-6226.

210 F.3d 577 (2000)

Jack M. BASS, Jr., Plaintiff-Appellant/Cross-Appellee, v. JANNEY MONTGOMERY SCOTT, INC.; Garry A. Fuld, Defendants-Appellees/Cross-Appellants, Technigen Corporation; Joytec, Ltd.; Lawrence A. Nesis, Defendants, John Gray; Norman T. Wilde, Jr., Defendants-Appellees.

United States Court of Appeals, Sixth Circuit.

Decided and Filed April 17, 2000

Attorney(s) appearing for the Case

Jeffrey Alan Greene (briefed), Castleman & Greene, Goodlettsville, TN, Daniel Wallace Small (briefed), Nashville, TN, for Plaintiff-Appellant Cross-Appellee.

Ames Davis (argued and briefed), James W. White (briefed), Kathryn S. Crenshaw (briefed), Waller, Lansden, Dortch & Davis, Nashville, TN, for Defendants-Appellees Cross Appellants.

Before: GUY, RYAN, and MOORE, Circuit Judges.

RYAN, J., delivered the opinion of the court, in which RALPH B. GUY, JR., J., joined. MOORE, J. (pp. 592-95), delivered a separate opinion concurring in the judgment.

OPINION

RYAN, Circuit Judge.

Foremost among the issues we must decide in this appeal is whether the inclusion of stock purchase warrants along with a promissory note given in consideration of a loan renders the transaction subject to federal and Tennessee securities laws. We hold that...

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