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WINKLER v. SECURITIES AND EXCHANGE COMMISSION

No. 430, Docket 30940.

377 F.2d 517 (1967)

Joseph WINKLER and Louis Chazan, Individually and doing business as Winkler, Chase Company, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided May 23, 1967.

Attorney(s) appearing for the Case

Bernard J. Coven, New York City, for petitioners.

Walter P. North, Associate Gen. Counsel, Securities and Exchange Commission (Philip A. Loomis, Jr., Gen. Counsel, Theodore S. Kaplan, Atty., Washington, D. C., on the brief), for respondent.

Before WATERMAN, FRIENDLY and FEINBERG, Circuit Judges.

PER CURIAM:

Petitioners Joseph Winkler and Louis Chazan individually and as a partnership, Winkler, Chase Company, appeal from an order of the Securities and Exchange Commission, in proceedings involving petitioners and five other broker-dealer firms and various persons associated with them. The Commission found that appellants willfully violated the anti-fraud provisions,1 and aided and abetted...

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