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U.S. v. LEONARD

Docket Nos. 05-5523-cr(L), 06-0080-cr(con), 06-2392-cr(con).

529 F.3d 83 (2008)

UNITED STATES of America, Appellee, v. James M. LEONARD, Laurence Bowsky, Vincent Cavarra, Abraham M. Daniels, Alberto Ferreiras, Howard P. Goodman, Mary L. Goodman, Ian Hahn, Rosemarie Ingenito, Richard H. Jenkins, Kurt E. Kranz, Anthony Liggio, Philip Manzione, William Newsom, Lisa Niksic, Donald F. O'Grady, Frank Rossi, Anthony R. Stark, Beverly J. Tedder, Eric Thom, Dana Valensky, Kenneth R. Zolo, Defendants, Cynthia Silver, Paul C. Dickau, Nanci Silverstein, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided: June 11, 2008.

Attorney(s) appearing for the Case

Norman Trabulus, Garden City, N.Y., for Paul C. Dickau.

Michael F. Bachner (Danielle L. Attias, of counsel), Bachner & Associates, P.C., New York, N.Y., for Nanci Silverstein.

Geoffrey R. Kaiser (David C. James, of counsel), Assistant United States Attorneys for Roslynn R. Mauskopf, United States Attorney for the Eastern District of New York, Brooklyn, N.Y., for Appellee.

Before: KEARSE, CALABRESI, and KATZMANN, Circuit Judges.

KATZMANN, Circuit Judge.

Over sixty years ago, the Supreme Court established the test for whether a given financial instrument or transaction constitutes an "investment contract" — and, therefore, a security — for purposes of the federal securities laws. SEC v. W.J. Howey Co., 328 U.S. 293, 66 S.Ct. 1100, 90 L.Ed. 1244 (1946). We write today to underscore that, in applying the Howey factors, courts can (and...

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