In the Matter of Blizzard and Abel

Investment Advisers Release No. 2032 (2002)

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In the Matter of Blizzard and Abel

Securities and Exchange Commission
Investment Advisers Release No. 2032 (2002)

Facts

Attorney Daniel Small represented Rudolph Abel and Donald Berry (defendants), who were respondents in a Securities and Exchange Commission (SEC) (plaintiff) investigation regarding Shawmut Investment Advisers, Inc. (Shawmut). Small also represented other clients who were not respondents in the investigation. The SEC interviewed Small’s clients and negotiated a settlement with Berry. The SEC then scheduled a hearing regarding Abel and listed Berry and Small’s other clients on the list of potential witnesses to testify against Abel at that hearing. The SEC anticipated that those witnesses would give testimony inconsistent with Abel’s defense theory. The SEC considered whether Small could represent both Abel and the witnesses called to testify against Abel.

Rule of Law

Issue

Holding and Reasoning ()

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