Case Status
2 results
SEC v. EDWARDS, CHARLES E. (38109)
Order dated: 04/21/03Docket number: 02-1196
Action:
The motion of North American Securities Administrators Association, Inc. for leave to file a brief as amicus curiae is granted. The motion of Florida Department of Financial Services, et al. for leave to file a brief as amici curiae is granted. The motion of Public Investors Arbitration Bar Association, Inc. for leave to file a brief as amicus curiae is granted. The petition for a writ of certiorari is granted.
SEC v. EDWARDS, CHARLES E. (38109)
Order dated: 12/01/03Docket number: 02-1196
Action:
The motion of Financial World Companies, Inc. for leave to file a brief as amicus curiae is denied.
A description of the questions presented by the case has been prepared:
Whether the Court of appeals erred in dismissing the complaint on the ground that an investment scheme is excluded from the term investment contract in the definitions of ''securities Exchange Act of 1934, 15 U.S.C. 78c(a)(10), if the promoter promises a fixed rather than variable return or if the investor is contractually entitled to a particular amount or rate of return.
An opinion has been handed down: