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SECURITIES & EXCH. COM. v. CAPITAL GAINS RESEARCH BUREAU

No. 30, Docket 26942.

306 F.2d 606 (1962)

SECURITIES AND EXCHANGE COMMISSION, Appellant, v. CAPITAL GAINS RESEARCH BUREAU, INC., and Harry F. Schwarzmann, Appellees.

United States Court of Appeals Second Circuit.

Decided July 13, 1962.

Attorney(s) appearing for the Case

David Ferber, Associate Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Peter A. Dammann, Gen. Counsel, Ellwood L. Englander, Sp. Counsel, Walter P. North, Asst. Gen. Counsel, Ned B. Stiles, John Frohling and Allan F. Conwill, of counsel, Securities and Exchange Commission, Washington, D. C., on the brief), for appellant.

Leo C. Fennelly, New York City (Fennelly, Douglas, Eagan, Nager & Voorhees, New York City, on the brief), for appellees.

Before LUMBARD, Chief Judge, and CLARK, WATERMAN, MOORE, FRIENDLY, SMITH, KAUFMAN, HAYS and MARSHALL, Circuit Judges.

Rehearing in Banc February 22, 1962.

MOORE, Circuit Judge.

Plaintiff (appellant), Securities and Exchange Commission (SEC) in its complaint, alleging violation of Section 206(1) and (2) of the Investment Advisers Act of 1940, 15 U.S.C.A. 80b-6(1) and (2), sought a temporary restraining order, preliminary injunction and final injunction against defendants (appellees), Capital Gains Research Bureau, Inc., and Harry P. Schwarzmann, to prevent them from employing...

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