Case Status
2 results
SEC v. ZANDFORD, CHARLES (26298)
Order dated: 11/08/01Docket number: 01-147
Action:
The motion of respondent for leave to proceed in forma pauperis is granted. The petition for a writ of certiorari is granted.
SEC v. ZANDFORD, CHARLES (26298)
Order dated: 01/07/02Docket number: 01-147
Action:
The motions of the Solicitor General to dispense with printing the joint appendix are granted.
A description of the questions presented by the case has been prepared:
Whether a stockbroker's fraud is connection with the * * * sale of securities under Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b), and Rule 10b-5 of the Securities and Exchange Commission, 17 C.F.R. 240.10b-5, when the stockbroker sells his customer's securities for his own benefit and uses the proceeds for himself, without disclosure to his customer and without authorization to do so.
An opinion has been handed down: