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MERRITT, VICKERS, INC. v. SECURITIES AND EXCHANGE COM'N

No. 71, Docket 29283.

353 F.2d 293 (1965)

MERRITT, VICKERS, INC., a/k/a M. J. Merritt & Co., Inc. and Matthew J. Merritt, Jr. and James S. Vickers, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided December 3, 1965.

Attorney(s) appearing for the Case

Matthew J. Merritt, Jr., pro se.

Meyer Eisenberg, Sp. Counsel, Securities & Exchange Commission (Phillip A. Loomis, Jr., Gen. Counsel, Walter P. North, Associate Gen. Counsel, Paul J. Kemp, Atty., Securities & Exchange Commission, on the brief), for respondent.

Before WATERMAN, MOORE and FRIENDLY, Circuit Judges.

MOORE, Circuit Judge:

In 1962, the National Association of Security Dealers' (NASD) District Business Conduct Committee of District No. 12 found that Merritt, Vickers, Inc.,1 a registered broker-dealer, had executed 120 retail sales of securities as principal between February 8, 1960, and October 10, 1960, at unfair prices not reasonably related to current market prices in violation of Sections 1 and 4 of Art. III of the NASD Rules of...

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