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GILLIGAN, WILL & CO. v. SECURITIES AND EXCHANGE COM'N

No. 117, Docket 25171.

267 F.2d 461 (1959)

GILLIGAN, WILL & CO., a partnership, and James Gilligan and William Will, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided June 3, 1959.

Attorney(s) appearing for the Case

Francis J. Purcell, New York City (Townsend & Lewis, New York City, on the brief), for petitioners.

Daniel J. McCauley, Jr., Associate Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Thomas G. Meeker, Gen. Counsel, Joseph B. Levin, Asst. Gen. Counsel, and Richard Pearl, Washington, D. C., on the brief), for respondent.

Before MEDINA, LUMBARD and BURGER, Circuit Judges.

LUMBARD, Circuit Judge.

The question for decision is whether Gilligan, Will & Co. and its partners, James Gilligan and William Will, were underwriters with respect to the distribution of Crowell-Collier Publishing Company securities and as such wilfully violated the Securities Act of 1933, as amended, 15 U.S.C.A. § 77a et seq., by acquiring and distributing debentures and common stock which were not registered. For reasons which are discussed below, this...

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