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PENNALUNA & COMPANY v. SECURITIES AND EXCHANGE COM'N

No. 22143.

410 F.2d 861 (1969)

PENNALUNA & COMPANY, Inc., Benjamin A. Harrison, and Harry F. Magnuson, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Ninth Circuit.

Rehearing Denied July 11, 1969.

Attorney(s) appearing for the Case

Saxon, Maguire & Tucker, Washington, D. C., Paine, Lowe, Coffin, Herman & O'Kelly, Spokane, Wash., LeSourd & Patten, Seattle, Wash., Lowenstein, Pitcher, Hotchkiss & Parr, New York City, L. R. Small (argued), of Paine, Lowe, Coffin, Herman & O'Kelly, Spokane, Wash., for petitioners.

Walter P. North (argued), Associate Gen. Counsel, Philip A. Loomis, Jr., Gen. Counsel, Jacob H. Stillman, Asst. Gen. Counsel, Theodore S. Kaplan, Harvey A. Rowen, Attys., Washington, D. C., James E. Newton, Regional Adm., SEC, Seattle, Wash., for respondent.

Before CHAMBERS and MERRILL, Circuit Judges, and CROCKER, District Judge.

MERRILL, Circuit Judge:

Pursuant to § 25 of the Securities Exchange Act of 1934, 15 U.S.C. § 78y(a), petitioners seek review of an order of the Securities and Exchange Commission.

Pennaluna & Company was a corporation operating in Wallace and Kellogg, Idaho, and Spokane, Washington, as a registered broker-dealer in securities. It dealt primarily in securities issued by mining companies and for the most part traded on a wholesale basis with other...

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