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SECURITIES AND EXCHANGE COMMISSION v. RAPP

No. 313, Docket 27278.

304 F.2d 786 (1962)

SECURITIES AND EXCHANGE COMMISSION, Appellant, v. Herbert RAPP, individually and doing business under the firm name and style Webster Securities Company, a sole proprietorship, and Benjamin Shuman, Appellees.

United States Court of Appeals Second Circuit.

Decided June 21, 1962.

Attorney(s) appearing for the Case

David Ferber, Associate Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Peter A. Dammann, Gen. Counsel, Faith Colish, Atty., Securities and Exchange Commission, Washington, D. C., Andrew N. Grass, Jr., and David W. Smith, Attys., Securities and Exchange Commission, New York City, on the brief), for appellant.

Howard B. Gliedman, New York City (Frances Thaddeus Wolff, New York City, on the brief), for appellees.

Before CLARK, KAUFMAN, and HAYS, Circuit Judges.

CLARK, Circuit Judge.

Until restrained by the temporary order and preliminary injunction initially obtained by the Securities and Exchange Commission in this action, defendant Rapp engaged in the sale of stock of Taylorcraft, Inc., as a stockbroker under the name of Webster Securities Company. In this business he employed twelve salesmen, of whom defendant Benjamin Shuman was one. In this action brought pursuant to § 20(b) of the Securities Act of 1933, 15 U...

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