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SAMUEL B. FRANKLIN & CO. v. SECURITIES AND EXCHANGE COM'N

No. 16514.

290 F.2d 719 (1961)

SAMUEL B. FRANKLIN & COMPANY, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Ninth Circuit.

Rehearing Denied June 3, 1961.

Attorney(s) appearing for the Case

Samuel B. Franklin, in pro. per.

Walter P. North, Gen. Counsel, David Ferber, Asst. Gen. Counsel, and John A. Dudley, Atty., S.E.C., Washington, D. C., for respondent.

Before CHAMBERS, Chief Judge, and BARNES, HAMLEY, HAMLIN, JERTBERG, MERRILL and KOELSCH, Circuit Judges.

HAMLIN, Circuit Judge.

Samuel B. Franklin & Co., herein called the petitioner, seeks review of an order of the Securities and Exchange Commission. That order affirmed disciplinary action taken by the National Association of Securities Dealers, Inc., imposing upon Franklin a censure, a fine of $1,000 and costs of $773.80.

Section 15A of the Securities and Exchange Act of 1934, 15 U.S.C.A. § 78o-3, was added by the so-called Maloney Act in 1938...

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