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CHARLES HUGHES & CO. v. SECURITIES AND EXCHANGE COM'N

No. 154.

139 F.2d 434 (1943)

CHARLES HUGHES & CO., Inc., v. SECURITIES AND EXCHANGE COMMISSION.

Circuit Court of Appeals, Second Circuit.

December 10, 1943.

Attorney(s) appearing for the Case

David V. Cahill, of New York City (Murray R. Spies, of New York City, on the brief), for petitioner.

Milton V. Freeman, Asst. Sol., Securities and Exchange Commission, of Philadelphia, Pa. (John F. Davis, Sol., Olga M. Steig, Asst. Dir., Trading and Exchange Division, and Orrin C. Knudsen, Counsel, Trading and Exchange Division, all of Philadelphia, Pa., and Irving J. Galpeer and Philip Wagner, both of New York City, and Aaron Levy and Alfred Hill, Attys., Securities and Exchange Commission, both of Philadelphia, Pa., on the brief), for respondent.

Before AUGUSTUS N. HAND, CHASE, and CLARK, Circuit Judges.

CLARK, Circuit Judge.

This is a petition, pursuant to § 25(a) of the Securities Exchange Act of 1934, 15 U.S.C.A. § 78y(a), to review an order of the Securities and Exchange Commission, entered July 19, 1943, under § 15(b) of that Act, 15 U.S.C.A. § 78o(b), in which petitioner's registration as a broker and dealer was revoked. The order developed from a proceeding which was instituted by the Commission to determine whether or not petitioner...

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