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PEOPLE v. PRENDERGAST

No. 02CA1148.

87 P.3d 175 (2003)

The PEOPLE of the State of Colorado, Plaintiff-Appellee, v. Brian V. PRENDERGAST, Defendant-Appellant.

Colorado Court of Appeals, Div. V.

Certiorari Denied April 12, 2004.

Attorney(s) appearing for the Case

Ken Salazar, Attorney General, John D. Seidel, Assistant Attorney General, Denver, Colorado, for Plaintiff-Appellee.

Robert T. McAllister, P.C., Robert T. McAllister, Denver, Colorado, for Defendant-Appellant.

Opinion by Judge ROTHENBERG.

Defendant, Brian V. Prendergast, appeals the judgment of conviction entered on a jury verdict finding him guilty of twelve counts of securities fraud and one count of theft. We affirm.

Defendant was in the insurance industry and became involved with various business ventures. In 1995, the National Association of Securities Dealers (NASD) notified him of a pending investigation concerning him. Thereafter, NASD filed a complaint...

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