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SECURITIES AND EXCHANGE COM'N v. NATIONAL SECURITIES, INC.

No. 21146.

387 F.2d 25 (1967)

SECURITIES AND EXCHANGE COMMISSION, Appellant, v. NATIONAL SECURITIES, INC., a corporation, et al., Appellees.

United States Court of Appeals Ninth Circuit.

November 14, 1967.

Attorney(s) appearing for the Case

Philip A. Loomis, Gen. Counsel, David A. Ferber, Edward B. Wagner, M. D. Newman, W. Stevens Tucker, Attys., S.E.C., Washington, D. C., Arthur E. Pennekamp, Regional Adm., S.E.C. San Francisco, Cal., for petitioner.

Lewis, Roca, Scoville, Beauchamp & Linton, John Frank, Phoenix, Ariz., for appellees.

Before JERTBERG and MERRILL, Circuit Judges, and TAYLOR, District Judge.

JERTBERG, Circuit Judge:

Before us is an appeal under 28 U.S.C. § 1291 by the plaintiff below and appellant in this court, Securities and Exchange Commission, from a final judgment of the United States District Court for the District of Arizona granting judgment on the pleadings for the defendants below, appellees here. The action was brought pursuant to Section 21(e) of the Securities and Exchange Act of 1934, 15 U.S...

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