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LAWRENCE v. SECURITIES AND EXCHANGE COMMISSION

No. 7084.

398 F.2d 276 (1968)

Charles P. LAWRENCE, Petitioner, Appellant, v. SECURITIES AND EXCHANGE COMMISSION, Respondent, Appellee.

United States Court of Appeals First Circuit.

Decided July 11, 1968.

Attorney(s) appearing for the Case

Sumner H. Woodrow, Boston, Mass., with whom Chester C. Paris, Wakefield, Mass., was on brief, for petitioner.

David Ferber, Solicitor, with whom Philip A. Loomis, Jr., Gen. Counsel, Edward B. Wagner, Asst. Gen. Counsel, and Frank N. Fleischer, Washington, D. C., Atty., were on brief, for respondent.

Before ALDRICH, Chief Judge, McENTEE and COFFIN, Circuit Judges.

COFFIN, Circuit Judge.

Petitioner appeals from a Securities and Exchange Commission finding that he had wilfully violated the anti-fraud provisions of the federal securities laws1 and an order barring him for six months from associating with any broker or dealer and thereafter requiring that, if reemployed in the securities business, he be restricted to a non-supervisory capacity.

Petitioner, a branch office manager of a registered...

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