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CAPITAL FUNDS, INC. v. SECURITIES AND EXCHANGE COMMISSION

No. 17838.

348 F.2d 582 (1965)

CAPITAL FUNDS, INC., Austin E. Gatlin and Mrs. Erma S. Gatlin, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Eighth Circuit.

July 12, 1965.

Attorney(s) appearing for the Case

Thomas Harper, Fort Smith, Ark., for petitioner.

Philip A. Loomis, Jr., Gen. Counsel, Securities and Exchange Commission, Washington, D. C., Walter P. North, Associate Gen. Counsel, Washington, D. C., and Roy Nerenberg, Attorney, Securities and Exchange Commission, Washington, D. C., for respondent.

Before VAN OOSTERHOUT and RIDGE, Circuit Judges, and HENLEY, District Judge.

RIDGE, Circuit Judge.

Petition for review of an administrative order of the Securities and Exchange Commission pursuant to § 25(a) of the Securities Exchange Act of 1934, 15 U.S.C.A., § 78y(a). That order denied the application of petitioner Capital Funds, Inc. (hereinafter Capital), for registration as a broker-dealer; and found petitioners Austin E. and Mrs. Erma S. Gatlin each to be a cause thereof. The denial...

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