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SMITH v. PENNINGTON

No. 02-1535.

352 F.3d 884 (2003)

Allen E. SMITH; Elvis H. Hester, Jr.; Larry R. Wigal; Francis Lentz; Leslie S. Hollowell; Thomas H. Adams; Sherman H. Blankenship; Alice S. Carr; David L. Armbrister; Jacqueline M. Armbrister; Draper Valley Baptist Church; Westminster Presbyterian Church Corporation Of Greensboro, North Carolina; Larry W. Armbrister; Carolyn Q. Armbrister, individually and on behalf of all others similarly situated, Appellants, David Partington, Reverend, individually and for the benefit of the David Partington Rabbi Trust of which he is beneficiary, and on behalf of all others similarly situated, Plaintiff-Appellant, v. John R. PENNINGTON; James H. Perry; Patricia B. Lane; David R. Tanner; Brian Kraider; Tom Maschel; Donald G. Long; Jeffrey Paine, Defendants-Appellees, and Robert H. Garner; Ken Johnson; U.S. Capital Funding, Incorporated; First Capital Services, Incorporated; First Capital Corporation; The Charterhouse Group, Ltd., Defendants. Carl F. Schoeppl, Party in Interest.

United States Court of Appeals, Fourth Circuit.

Decided: December 18, 2003.

Attorney(s) appearing for the Case

ARGUED: John Francis Bloss, Sr., CLARK, BLOSS & WALL, P.L.L.C., Greensboro, North Carolina, for Appellants. Gary Michael Bowman, Roanoke, Virginia, for Appellees. ON BRIEF: David M. Clark, CLARK, BLOSS & WALL, P.L.L.C., Greensboro, North Carolina, for Appellants.

Before LUTTIG and SHEDD, Circuit Judges, and James H. MICHAEL, JR., Senior United States District Judge for the Western District of Virginia, sitting by designation.

Affirmed by published opinion.

Judge LUTTIG wrote the opinion, in which Judge SHEDD and Senior Judge MICHAEL joined.

OPINION

LUTTIG, Circuit Judge:

Plaintiff-appellant, the Reverend David Partington, sued defendants, including The Charterhouse Group, Ltd. ("Charterhouse"), and defendants-appellees ("appellees") for selling unregistered securities in violation of section 12(1) of the Securities Act of 1933, codified at 15 U.S.C. § 77l...

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