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IN RE COMMONWEALTH INSTITUTIONAL SECURITIES, INC.

No. 03-5050.

394 F.3d 401 (2004)

In Re: COMMONWEALTH INSTITUTIONAL SECURITIES, INC., Debtor. Excel Energy, Inc., Plaintiff-Appellant, v. R. Gene Smith, et al., Defendants-Appellees.

United States Court of Appeals, Sixth Circuit.

Decided and Filed: January 7, 2005.

Attorney(s) appearing for the Case

Donald L. Cox, Lynch, Cox, Gilman & Mahan, Louisville, Kentucky, for Appellant.

Paul J. Hershberg, Seiller & Handmaker, Louisville, Kentucky, Denise M. Helline, Ruck, Wilson, Helline & Brockman, Louisville, Kentucky, for Appellees.

Donald L. Cox, William H. Mooney, Lynch, Cox, Gilman & Mahan, Louisville, Kentucky, for Appellant.

David M. Cantor, Seiller & Handmaker, Louisville, Kentucky, Denise M. Helline, Ruck, Wilson, Helline & Brockman, Louisville, Kentucky, for Appellees.

Before: MARTIN, COLE, and GIBBONS, Circuit Judges.

OPINION

MARTIN, Circuit Judge.

Excel Energy, Inc., appeals the district court's affirmance of the bankruptcy court's decision to disallow its Proof of Claim against the Estate of Commonwealth Institutional Securities, Inc. The district court found that the bankruptcy court correctly concluded that Commonwealth was not a seller of securities for purposes of Kentucky securities law, and that Excel never pleaded broker-dealer liability against Commonwealth...

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