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S.E.C. v. THOMAS D. KIENLEN CORP.

Civil No. 90-6390-JO.

755 F.Supp. 936 (1991)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. THOMAS D. KIENLEN CORPORATION (an Oregon corporation) and Thomas D. Kienlen, Defendants.

United States District Court, D. Oregon.

January 16, 1991.

Attorney(s) appearing for the Case

Charles H. Turner, U.S. Atty., James L. Sutherland, Asst. U.S. Atty., Eugene, Or., Jack H. Bookey, Nobuo Kawasaki, Lawrence L. Kiser, and George N. Prince, S.E.C., Seattle, Wash., for plaintiff.

Lois O. Rosenbaum, Stoel Rives Boley Jones & Grey, Portland, Or., for defendants.

OPINION AND ORDER

ROBERT E. JONES, District Judge:

The Securities and Exchange Commission (SEC) moves for partial summary judgment against defendants, Thomas D. Kienlen Corporation (TDK) and Thomas D. Kienlen (Kienlen), on the grounds that defendants violated sections 5(b)(1)1 and 5(c)2 of the Securities Act of 1933, 15 U.S.C. §§ 77e(b)(1) and (c), the first and second causes of action in...

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