Search Tips

State v. Hager

Docket No. 20100090
Oral Argument: Thursday, September 16, 2010 11:00am

Docket Info

Title
State of North Dakota, Plaintiff and Appellee
v.
Bruce A. Hager, Defendant and Appellant
Case Type
CRIMINAL APPEAL : MISC. STATUTORY OFFENSE (FELONY)
Appeal From
Case No. 05-K-2261
East Central Judicial District, Cass County
Wickham Corwin
2010 ND 217790 N.W.2d 745
Oral Argument 9/16/2010

Highlight

Federal securities laws do not preempt state securities laws that require registration of individuals involved in the sale of securities.
The definition of agent for purposes of the North Dakota Securities Act is not limited to third-party individuals who are not employees or owners of the securities issuer.


Briefs

Filing Date Description
06/01/2010 APPELLANT BRIEF (e-filed) PDF View
06/29/2010 APPELLEE BRIEF (e-filed) View
07/12/2010 REPLY BRIEF (e-filed) PDF View

Counsel

Party Type Name
AMICUS CURIAE PRIVATE PRACTICE Gary R Wolberg - 03355
APPELLEE ASST. STATE'S ATTORNEY Cherie LaVonne Clark - 06306
APPELLANT PRIVATE PRACTICE Arly D Richau - 03242
APPELLANT PRIVATE PRACTICE Daniel James Frisk - 05109
APPELLANT PRIVATE PRACTICE Steven M Light - 05566
APPELLEE SPEC. ASST. ATTY. GEN. Michael Francis Daley - 03656
AMICUS CURIAE PRIVATE PRACTICE Petra H Mandigo Hulm - 06059
AMICUS CURIAE CORPORATE COUNSEL Not Licensed in ND - 00002

(Note: Attachments may not be available for recently filed cases and/or confidential documents.)

Seq. # Filing Date Description Attachment
1 03/17/2010 NOTICE OF APPEAL : 03/15/2010
2 03/17/2010 ORDER FOR TRANSCRIPT : 03/15/2010
3 03/22/2010 Amended Order for Transcript
4 03/29/2010 TRANSCRIPT DATED NOVEMBER 16, 2009, & C.O.S.
5 03/29/2010 DISK-TRA 11/16/09
6 04/01/2010 TRANSCRIPTS DATED March 5, 2009 and March 12, 2010 & C.O.S.
7 04/01/2010 DISK - (e-mailed) TRA of 3-5-09 & 3-12-10
8 04/06/2010 TRANSCRIPT DATED November 10, 2008 & C.O.S.
9 04/13/2010 Electronic RECORD ON APPEAL
10 05/13/2010 DISK of tra dated 11-10-08
11 05/14/2010 MOT. EXT/TIME APPELLANT BRIEF
12 05/14/2010 E-FILED MOTION
13 05/14/2010 ACTION BY CLERK (MAT) - Granted : 06/01/2010
14 06/01/2010 APPELLANT BRIEF (e-filed) PDF View
15 06/01/2010 E-FILED BRIEF (ATB) PDF
16 06/01/2010 APPELLANT APPENDIX (e-filed) PDF
17 06/01/2010 E-FILED APPENDIX (ATA) PDF
18 06/03/2010 Received $25 e-filing surcharge for ATB (Receipt #19665).
19 06/01/2010 Received 7 copies from ATB from Central Duplicating.
20 06/01/2010 Received 6 copies of ATA from Central Duplicating.
21 06/09/2010 MOTION FOR Admission Pro Hac Vice of Joseph V. Brady & Affidavit in Support (fee paid)
22 06/10/2010 ACTION BY CLERK - Granted
23 06/09/2010 MOTION of North American Securities Administrators Association, Inc., for Leave to File an Amicus
24 06/09/2010 Curiae Brief in Support of the Appellee
25 06/10/2010 ACTION BY CHIEF JUSTICE - Granted
26 06/29/2010 APPELLEE BRIEF (e-filed) View
27 06/29/2010 E-FILED BRIEF (AEB)
28 07/01/2010 Received $25 surcharge for AEB (Receipt #19698)
29 07/02/2010 AMICUS CURIAE BRIEF (North American Securities Administrators Association Inc.) View
30 07/02/2010 DISK - ACB (N.A. Securities Administrators Assoc.) (CD-ROM)
31 07/07/2010 Received 7 copies of AEB from CSD
32 07/12/2010 REPLY BRIEF (e-filed) PDF View
33 07/12/2010 E-FILED BRIEF (RYB) PDF
34 07/14/2010 Received 7 copies of RYB from Central Duplicating.
35 07/16/2010 NOTICE OF ORAL ARGUMENT SENT
36 08/30/2010 MOTION FOR Transportation of defendant
37 08/31/2010 NO ACTION TAKEN (motion incomplete)
38 09/16/2010 APPEARANCES: Daniel J. Frisk and Arly Richau; Cherie L. Clark and Michael F. Daley
39 09/16/2010 ARGUED: Frisk; Clark and Daley
40 09/16/2010 Argument held on the campus of the University of Mary
41 11/09/2010 DISPOSITION
42 11/09/2010 UNANIMOUS OPINION : Kapsner, Carol Ronning View
43 11/10/2010 Judgment Sent to Parties
44 12/01/2010 MANDATE
45 12/03/2010 RECEIPT SIGNED BY DISTRICT COURT CLERK'S OFFICE