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BENNETT v. DURHAM

Nos. 11-5782, 11-5918.

683 F.3d 734 (2012)

Paul Daniel BENNETT, et al., Plaintiffs-Appellants, v. Hunter DURHAM; Durham & Zornes, Defendants-Appellees. Frederick P. Clayton, Jr., et al., Plaintiffs-Appellants, v. Heartland Resources, Inc., et al., Defendants, Hunter Durham, Defendant-Appellee.

United States Court of Appeals, Sixth Circuit.

Decided and Filed: June 28, 2012.

Attorney(s) appearing for the Case

ARGUED: Tera Rica Murdock , Waller, Lansden, Dortch & Davis, LLP, Nashville, Tennessee, for Appellants. Eugene N. Bulso, Jr. , Leader, Bulso & Nolan, PLC, Nashville, Tennessee, for Appellees. ON BRIEF: Tera Rica Murdock , Waller, Lansden, Dortch & Davis, LLP, Nashville, Tennessee, for Appellants in 11-5918. Joseph A. Woodruff , Rebecca Brinkley , Waller, Lansden, Dortch & Davis, LLP, Nashville, Tennessee, for Appellants in 11-5782 & 11-5918. Eugene N. Bulso, Jr. , Leader, Bulso & Nolan, PLC, Nashville, Tennessee, Timothy L. Edelen , Bell, Orr, Ayers & Moore, PSC, for Appellees. Colleen Keefe , Commonwealth of Kentucky, Frankfort, Kentucky, for Amicus Curiae.

Before: MOORE, SUTTON and STRANCH, Circuit Judges.

OPINION

SUTTON, Circuit Judge.

The Kentucky Securities Act imposes liability on (1) anyone who "offers or sells a security" in violation of its terms and (2) any "agent" of the seller who "materially aids" the sale of securities, defined as someone who "effect[s] or attempt[s] to effect" the sale. Ky.Rev.Stat. §§ 292.480(1), (4); 292.310(1). These related cases present the same question: Does the Act impose liability on an attorney who performs...

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