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THORNTON v. SECURITIES AND EXCHANGE COMMISSION

No. 106, Docket 21062.

171 F.2d 702 (1948)

THORNTON et al. v. SECURITIES AND EXCHANGE COMMISSION.

United States Court of Appeals Second Circuit.

December 22, 1948.

Attorney(s) appearing for the Case

Frank L. Ippolito, of New York City (Joseph Brandwen, Max P. Kaplan, Carrol A. Muccia, Michael A. Muccia, and Joseph A. Muccia, all of New York City, on the brief), for petitioners.

Alexander Cohen, Atty., Securities and Exchange Commission, of Washington, D. C. (Roger S. Foster, Gen. Counsel, and Louis Loss, Assoc. Gen. Counsel, both of Washington, D. C., on the brief), for respondent.

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

PER CURIAM.

The Commission order revoking the registration of petitioners' firm as a securities broker and dealer and expelling it from the National Association of Securities Dealers, Inc., was based on findings that it had willfully violated § 9(a) (1) and (2) of the Securities Exchange Act of 1934, 15 U.S.C.A. § 78i(a) (1) and (2), in entering "matched orders" and effecting "wash sales" in two stocks traded on the Chicago Stock Exchange, as described in...

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