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Securities Regulation Keyed to Coffee
Hollinger v. Titan Capital Corp.
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*Case Brief Anatomy includes: Brief Prologue, Complete Case Brief, Brief Epilogue
- The Brief Prologue provides necessary case brief introductory information and includes:
- Topic: Identifies the topic of law and where this case fits within your course outline.
- Parties: Identifies the cast of characters involved in the case.
- Procedural Posture & History: Shares the case history with how lower courts have ruled on the matter.
- Case Key Terms, Acts, Doctrines, etc.: A case specific Legal Term Dictionary.
- Case Doctrines, Acts, Statutes, Amendments and Treatises: Identifies and Defines Legal Authority used in this case.
- The Case Brief is the complete case summarized and authored in the traditional Law School I.R.A.C. format. The Pro case brief includes:
- Brief Facts: A Synopsis of the Facts of the case.
- Rule of Law: Identifies the Legal Principle the Court used in deciding the case.
- Facts: What are the factual circumstances that gave rise to the civil or criminal case? What is the relationship of the Parties that are involved in the case. Review the Facts of this case here:
Painter Financial Group was formed to counsel investors and sell insurance. Painter rented space to Wilkowski while operating as an agent of Painter. To register as securities salesmen with a broker-dealer firm, Titan Capital Corp., Wilkowski and other representatives applied to the National Association of Securities Dealers (NASD). On Wilkowski’s registration application, he stated that he never intentionally made an untrue statement, was never included in a major legal proceeding and never pled guilty to or was convicted of a felony. NASD granted Wilkowski registration, although a print check through the FBI showed that Wilkowski did indeed plead guilty to three counts of felony forgery at a previous date. The NASD provided this information to Titan, requiring a letter from Wilkowski explaining himself. Wilkowski replied saying that he thought the conviction was removed from his record in accordance with his plea agreement and presentedd a new application admitting the forgery conviction. Painter removed him from his financial advisor position, even though neither NASD nor Titan revoked his registration. When Wilkowski was employed by Titan, he had clients make checks payable directly to him and offered fabricated statements on Titan stationery. Wilkowski was then found guilty of criminal securities fraud and grand theft. Investorvictims of Wilkowskiwere seeking to recover losses founded on the antifraud stipulations of federal and state securities laws. The district court gave summary judgment in favor of Painter and Titan on federal claims while dismissing the state claims. The investors appealed.
- Issue(s): Lists the Questions of Law that are raised by the Facts of the case.
- Holding: Shares the Court's answer to the legal questions raised in the issue.
- Concurring / Dissenting Opinions: Includes valuable concurring or dissenting opinions and their key points.
- Reasoning and Analysis: Identifies the chain of argument(s) which led the judges to rule as they did.
- The Brief Prologue closes the case brief with important forward-looking discussion and includes:
- Policy: Identifies the Policy if any that has been established by the case.
- Court Direction: Shares where the Court went from here for this case.