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UNITED STATES v. DIXON

No. 483, Docket 75-1317.

536 F.2d 1388 (1976)

UNITED STATES of America, Appellee, v. Lloyd DIXON, Jr., Appellant.

United States Court of Appeals, Second Circuit.

Decided March 12, 1976.

Attorney(s) appearing for the Case

Herald Price Fahringer, Buffalo, N. Y. (Lipsitz, Green, Fahringer, Roll, Schuller & James, Buffalo, N. Y., of counsel), for appellant.

Robert H. Plaxico, Dept. of Justice, Washington, D. C. (Richard J. Arcara, U. S. Atty., Western District of New York, Robert C. Stewart and Dennis P. O'Keefe, Buffalo, N. Y., Shirley Baccus-Lobel, Washington, D. C., of counsel), for appellee.

Before LUMBARD, FRIENDLY and MULLIGAN, Circuit Judges.

FRIENDLY, Circuit Judge:

I.

Appellant Lloyd Dixon, Jr., was the president of AVM Corporation of Jamestown, New York, a manufacturer of voting machines which became subject to the proxy and reporting requirements of the Securities Exchange Act of 1934 (the Act) in 1965 as a result of the addition of § 12(g) in the amendments of 1964. His prosecution arose from violations of those provisions of the Act.

One of these, § 14(a), deals with the...

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