SEC v. Fehn

97 F.3d 1276 (1996), 522 U.S. 813 (1997)

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SEC v. Fehn

United States Court of Appeals for the Ninth Circuit
97 F.3d 1276 (1996), 522 U.S. 813 (1997)

Facts

H. Thomas Fehn (defendant) was an attorney who was hired by CTI Technical, Inc. (CTI) concerning a Securities and Exchange Commission (SEC) (plaintiff) investigation. In his representation of CTI, Fehn advised the company that it had not filed several key documents required by the SEC, including a Form 10-Q. CTI stated that it wished to save money on legal expenses, and thus, Fehn provided a blank Form 10-Q, which he would usually complete, for CTI to complete on its own. After CTI completed the form, Fehn edited it and submitted it to the SEC. The SEC later alleged that essential information was missing from the Form 10-Q, and brought suit against Fehn for aiding and abetting CTI in its misrepresentation to investors, in violation of § 10(b) of the Exchange Act. The district court ruled in favor of the SEC. Fehn then appealed to the Ninth Circuit Court of Appeals.

Rule of Law

Issue

Holding and Reasoning (Hawkins, J.)

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Casebooks

Securities Regulation