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KNAUER v. JONATHON ROBERTS FINANCIAL GROUP

No. 02-3926.

348 F.3d 230 (2003)

James A. KNAUER as the Court Appointed Receiver for Heartland Financial Services, Inc. and JMS Investment Group, LLC, Plaintiffs-Appellants, v. JONATHON ROBERTS FINANCIAL GROUP, INC.; Alliance Capital Management Corp.; Andover Securities, Inc.; FSC Securities Corporation and FFP Securites, Inc., Defendants-Appellees.

United States Court of Appeals, Seventh Circuit.

Decided October 22, 2003.

Attorney(s) appearing for the Case

William Bock, III, Kroger, Gardi & Regas, Indianapolis, IN, for plaintiff-appellant.

Thomas E. Wack (argued), Leo A. Asaro, Bryan Cave, St Louis, MO, Thomas E. Wheeler, II, Locke Reynolds, Indianapolis, IN, for defendants Jonathon Roberts Financial Group, Alliance Capital Management, Andover Securities and FFP Securities.

William L. O'Connor, Dann, Pecar, Newman & Kleiman, Indianapolis, IN, for defendant FSC Securities.

Before CUDAHY, EVANS and WILLIAMS, Circuit Judges.

CUDAHY, Circuit Judge.

Heartland Financial Services, Inc., and JMS Investment Group, LLC, operated a Ponzi scheme in the late 1990s that collected over $60 million from hundreds of investors. In August 2000, in connection with a Securities and Exchange Commission (SEC) action against individuals and entities involved in the Ponzi scheme, the district court appointed James A. Knauer as receiver for Heartland and JMS. Subsequently, Knauer began this lawsuit, alleging...

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