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SECURITIES & EXCH. COM'N v. CAPITAL GAINS RESEARCH BUR.

191 F.Supp. 897 (1961)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. CAPITAL GAINS RESEARCH BUREAU, INC., Harry P. Schwarzmann, Defendants.

United States District Court S. D. New York.

March 1, 1961.

Attorney(s) appearing for the Case

Paul Windels, Jr., Regional Administrator, Arthur Goldman, Chief Enforcement Atty., Henry R. Bright, New York City, for Securities and Exchange Commission.

Fennelly, Douglas, Eagon, Nager & Voorhees, New York City, for defendants; Leo C. Fennelly, New York City, of counsel.

DIMOCK, District Judge.

Plaintiff seeks a preliminary injunction against the carrying on of business practices which it alleges contravene the provisions of section 206, subdivisions (1) and (2), of the Investment Advisers Act of 1940, 15 U.S.C. § 80b-6(1) and (2). The entire section 206 as amended in 1960, reads as follows:

"§ 80b-6. Prohibited transactions by investment advisers "It shall be unlawful for any investment adviser...

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