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SECURITIES AND EXCHANGE COMMISSION v. R. A. HOLMAN & CO.

No. 418, Docket 30039.

366 F.2d 456 (1966)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. R. A. HOLMAN & CO., Inc., Richard A. Holman and Irving Bienenstock a/k/a Irving Burns, Defendants-Appellants, and Ben F. Harburger and Henry N. Budoff, Defendants.

United States Court of Appeals Second Circuit.

Decided September 21, 1966.

Attorney(s) appearing for the Case

Sidney P. Howell, Jr., New York City (Marie V. Driscoll, Richard A. Holman, and Rogers, Hoge & Hills, New York City, with him on the brief), for appellants.

David Ferber, Solicitor, Securities and Exchange Commission, Washington, D. C. (Philip A. Loomis, General Counsel, and Martin D. Newman, Attorneys, Securities and Exchange Commission, Washington, D. C., with him on the brief), for appellee.

Before WATERMAN, MOORE and KAUFMAN, Circuit Judges.

MOORE, Circuit Judge:

The case at bar was commenced on March 15, 1963, by the filing in the District Court for the Southern District of New York of a complaint by the Securities and Exchange Commission (SEC), charging that R. A. Holman & Co., Inc., a New York securities firm; Richard A. Holman, its president; and three salesmen of the firm, Irving Bienenstock (also known as Irving Burns), Ben F. Harburger, and Henry Nathan Budoff; had violated § 17(a) of...

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