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STRATHMORE SECURITIES, INC. v. SECURITIES & EXCHANGE COM'N

No. 21520.

407 F.2d 722 (1969)

STRATHMORE SECURITIES, INC., Aldus H. Turner, Jr., Ronald D. Turner and T. Theodore Turner, Petitioners, v. The SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals District of Columbia Circuit.

Decided January 24, 1969.

Attorney(s) appearing for the Case

Mr. Alan Kay, Chicago, Ill., for petitioners. Mr. Stanley I. Bregman, Alexandria, Va., also entered an appearance for petitioners.

Mr. Jacob H. Stillman, Special Counsel, Securities and Exchange Commission, with whom Mr. Philip A. Loomis, Jr., General Counsel, and Mr. Walter P. North, Associate General Counsel, Securities and Exchange Commission, were on the brief, for respondent.

Before BAZELON, Chief Judge, and McGOWAN and ROBINSON, Circuit Judges.

McGOWAN, Circuit Judge:

This statutory review proceeding is brought to overturn an order of the Securities and Exchange Commission entered under Sections 15(b) and 15A of the Securities Exchange Act, 15 U.S.C. §§ 78o(b), 78o-3. The Commission found that petitioners had violated various provisions of the statutes administered by it, and it imposed certain penalties affecting the capacity of each of petitioners to continue in the securities business...

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