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U.S. v. ZAHAREAS

No. 00-3047.

272 F.3d 1102 (2001)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Nicholas A. ZAHAREAS, Tuschner & Co. Inc., Defendants, John M. Tuschner, Defendant-Appellant, Euroamerican Securities, S.A., Defendant.

United States Court of Appeals, Eighth Circuit.

Filed: November 29, 2001.

Attorney(s) appearing for the Case

James H. Schropp, Washington, D.C., argued, for appellant.

Allen A. Capute, SEC, Washington, D.C., argued, for appellee.

Before MORRIS SHEPPARD ARNOLD, BRIGHT, and BYE, Circuit Judges.

BYE, Circuit Judge.

John M. Tuschner appeals the district court's grant of the Securities and Exchange Commission's (SEC) motion for summary judgment holding him liable under Section 20(e) of the Securities and Exchange Act of 1934. See 15 U.S.C. § 78t(e). Under the SEC's most recent theory, Nicholas Zahareas, a securities broker barred from the United States market, was "controlled by" Tuschner, a Minneapolis-based broker.1

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