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OBASI INV. LTD v. TIBET PHARMACEUTICALS, INC

No. 18-1849.

931 F.3d 179 (2019)

OBASI INVESTMENT LTD; Jingli Shao; Robin Joachim Dartell; Lixin Wu; Jason Helton; Sean Carithers, individually and on behalf of all others similarly situated, v. TIBET PHARMACEUTICALS, INC; Hong Yu; Taylor Z. Guo; Sabrina Ren; Wenbo Chen; Youhang Pen; Solomon Chen; Anderson & Strudwick Inc; Sterne Agee Group Inc; Hayden Zou; L. Mccarthy Downs, III; Acquavella Chiarelli Shuster Berkower & Co., L.L.P., Hayden Zou; L. Mccarthy Downs, III, Appellants.

United States Court of Appeals, Third Circuit.

Filed: July 23, 2019.

Attorney(s) appearing for the Case

A. Neil Hartzell [Argued], Freeman Mathis & Gary, 60 State Street, 6th Floor, Boston, MA 02109, Attorney for Appellant L. McCarthy Downs, III.

Michael P. Tremonte [Argued], Justin J. Gunnell , Sher Tremonte, 90 Broad Street, 23rd Floor, New York, NY 10004, Attorneys for Appellant Hayden Zou.

Laurence M. Rosen [Argued], Rosen Law Firm, 609 W. South Orange Avenue, Suite 2P, South Orange, NJ 07079, Keith R. Lorenze , Rosen Law Firm, 101 Greenwood Avenue, Suite 440, Jenkintown, PA 19046, Attorneys for Appellees.

Before: HARDIMAN, SCIRICA, and COWEN, Circuit Judges.

OPINION OF THE COURT

This case comes to the Court as a certified interlocutory appeal. The sole question presented is whether, under Section 11 of the Securities Act of 1933, 15 U.S.C. § 77k, a nonvoting board observer affiliated with an issuer's placement agent is a "person who, with his consent, is named...

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