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NASSAU SECURITIES SERVICE v. SECURITIES AND EXCHANGE COM'N

No. 426, Docket 29346.

348 F.2d 133 (1965)

NASSAU SECURITIES SERVICE, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided June 28, 1965.

Attorney(s) appearing for the Case

Irving Garber, pro se.

Edward B. Wagner, Sp. Counsel, Philip A. Loomis, Jr., General Counsel, David Ferber, Solicitor; Michael Joseph, Attorney, Securities and Exchange Commission, for respondent.

Before WATERMAN, FRIENDLY and ANDERSON, Circuit Judges.

WATERMAN, Circuit Judge.

Petitioner, a member of the National Association of Securities Dealers, Inc. (NASD), contracted to sell 100 shares of stock at $6.75 per share to James Anthony & Co., a fellow member of the NASD. When petitioner failed to deliver the shares at the proper time, Anthony purchased the stock at $10 per share from another dealer on petitioner's account, in accordance with Section 59 of the NASD Uniform Practice Code. Petitioner subsequently...

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