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WILLHEIM v. INVESTORS DIVERSIFIED SERVICES, INC.

No. 364, Docket 27514.

303 F.2d 276 (1962)

Else WILLHEIM and Randolph Phillips, Plaintiffs-Appellants, v. INVESTORS DIVERSIFIED SERVICES, INC., and Investors Mutual, Inc., Defendants-Appellees.

United States Court of Appeals Second Circuit.

Decided May 18, 1962.

Attorney(s) appearing for the Case

Randolph Phillips, New York City, appellant pro se (Leonard I. Schreiber, New York City, for appellant Else Willheim, on the brief).

Samuel E. Gates, of Debevoise, Plimpton & McLean, New York City (J. Asa Rountree, J. Edward Fowler, and Robert L. King, New York City, on the brief), for appellee Investors Diversified Services, Inc.

Taggart Whipple, Philip C. Potter, Jr., and Roland W. Donnem, of Davis, Polk, Wardwell, Sunderland & Kiendl, New York City, on the brief, for appellee Investors Mutual, Inc.

Peter A. Dammann, Gen. Counsel, Walter P. North, Asso. Gen. Counsel, George P. Michaely, Jr., Sp. Counsel, and Paul J. Kemp, Atty., Securities and Exchange Commission, Washington, D. C., on the brief, for Securities and Exchange Commission as amicus curiae.

Before CLARK, KAUFMAN, and HAYS, Circuit Judges.

PER CURIAM.

This case presents substantial issues of fact and law which must be resolved before there can be final adjudication that the investment advisory and underwriting service contracts between the two defendants-appellees have been abrogated by a transfer of stock control as provided in §§ 2(a)(4), 15(a)(4), and (b)(2) of the Investment Company Act of 1940, 15 U.S.C. §§ 80a-2(a)(4), 80a-15(a)(4), and (b)(2). It seems clear that neither plaintiffs...

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