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HALLERAN v. NU WEST, INC.

Nos. 51959-0-I, 52202-7-I.

98 P.3d 52 (2004)

John A. HALLERAN and Carolyn Halleran, husband and wife and the marital community composed thereof; John F. Halleran and Sheree Halleran, husband and wife and the marital community composed thereof; William J. Halleran and Susan Halleran, husband and wife and the marital community composed thereof; and Joseph Nelson and Lynn Nelson, husband and wife and the marital community composed thereof, Appellants, v. NU WEST, INC., Michelle Frey, individually and as Administratrix of the Estate of Georg Frey; Don Jones and Jane Doe Jones, husband and wife and the marital community composed thereof; The State of Washington; and John Does I through XX, Respondents. John R. Kaleas; Helen S. Clark, Joseph J. Victor, Sr., all on behalf of themselves and a class of similarly situated persons, Appellants, v. The State of Washington, Respondent.

Court of Appeals of Washington, Division 1.

Publication Ordered September 15, 2004.

Attorney(s) appearing for the Case

Michael James Warren, Attorney at Law, Seattle, WA, for Helen S. Clark, John R. Kaleas, Joseph J. Victor.

Michael E. Tardif, Talis Merle Abolins, Attorneys at Law, Robert Lundgaard, Attorney at Law, Olympia, WA, for State of Washington.

Louis `Larry' L. Barokas, John Randolph Tomlinson, Attorneys at Law, H. Richmond Fisher, Win Win Resolution, Seattle, WA John Peter Ferguson, Attorney at Law, Bainbridge Island, WA, for Carolyn Halleran, John Halleran, Sheree Halleran, Susan Halleran, William J. Halleran, Joseph Nelson, Lynn Nelson.

SCHINDLER, J.

The Washington State Securities Act does not create a duty to protect individual investors from investment losses. Halleran and Kaleas,1 investors in financial services company Nu West, Inc., rely on the legislative intent and failure to enforce exceptions to the public duty doctrine to argue that the Securities Division of the Washington State Department of Financial Institutions had a duty to protect them from Nu West's...

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