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SHAW v. UNITED STATES

No. 9916.

131 F.2d 476 (1942)

SHAW v. UNITED STATES.

Circuit Court of Appeals, Ninth Circuit.

Rehearing Denied December 18, 1942.

Attorney(s) appearing for the Case

Morris Lavine, of Los Angeles, Cal., for appellant.

Maurice Norcop, Asst. U. S. Atty., of Los Angeles, Cal. (John G. Sobieski, of San Francisco, Cal., and James M. Evans, of Los Angeles, Cal., Attys., Securities and Exchange Commission, of counsel), for appellee.

Before DENMAN, MATHEWS, and STEPHENS, Circuit Judges.

DENMAN, Circuit Judge.

This is an appeal from a judgment of conviction based upon three counts of an indictment, Nos. 14, 15 and 16, each charging that the appellant and another person, not appealing, caused to be carried through the mails unregistered corporate securities in violation of the Federal Securities Act of 1933 as amended, 15 U.S.C.A. § 77a et seq. A typical count is as follows: "* * * did cause to be delivered by the United States mails a certain...

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