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BULLDOG INVESTORS GENERAL PARTNERSHIP v. SECRETARY OF THE COMMONWEALTH

SJC-10756.

460 Mass. 647 (2011)

BULLDOG INVESTORS GENERAL PARTNERSHIP & others v. SECRETARY OF THE COMMONWEALTH.

Supreme Judicial Court of Massachusetts, Suffolk.

September 22, 2011.

Attorney(s) appearing for the Case

Lawrence Tribe ( Alan S. Lewis , of New York, & Andrew Good with him) for the plaintiffs.

Pierce O. Cray , Assistant Attorney General, for the defendant.

Lee Tien & Adam Kessel, for John Berlau & others, amici curiae, submitted a brief.

Present: IRELAND, C.J., SPINA, CORDY, BOTSFORD, & GANTS, JJ.

GANTS, J.

On January 31, 2007, the Enforcement Section of the Securities Division of the office of the Secretary of the Commonwealth (Secretary) filed an administrative complaint alleging that three "hedge funds" offered by Bulldog Investors General Partnership operating under the trade name "Bulldog Investors" had violated § 301 of G. L. c. 110A of the Massachusetts Uniform Securities Act (Massachusetts act) by offering unregistered securities to a Massachusetts...

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