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MARKETLINES, INC. v. SECURITIES AND EXCHANGE COMMISSION

No. 139, Docket 31113.

384 F.2d 264 (1967)

MARKETLINES, INC., Petitioner, v. The SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided October 9, 1967.

Attorney(s) appearing for the Case

Gideon Cashman, New York City (Pryor, Braun, Cashman & Sherman, Alvin Chriss, New York City, of counsel), for petitioner.

Walter P. North, Associate Gen. Counsel, S. E. C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, Jacob H. Stillman, Sp. Counsel, Theodore S. Kaplan, Atty., S. E. C., of counsel), for respondent.

Before MOORE, SMITH and KAUFMAN, Circuit Judges.

PER CURIAM:

Marketlines, Inc. (Marketlines) seeks review of an order of the Securities and Exchange Commission (Commission) which revoked its registration as an investment adviser under the Investment Advisers Act of 1940.1 The Commission relied upon two unrelated series of events. It found that Marketlines, aided and abetted by David S. Romanoff, president, treasurer and sole stockholder, and...

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