1. Home
  2. Browse Decisions
  3. F.2d
  4. 417 F.2d
  5. 417 F.2d 1058 (1969)
 

FINK v. SECURITIES AND EXCHANGE COMMISSION

Docket 33275.

417 F.2d 1058 (1969)

Aaron FINK, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided October 27, 1969.

Attorney(s) appearing for the Case

Milton Norman, New York City (Koenigsberg, Norman & Drangel, New York City, on the brief), for petitioner.

Paul Gonson, Asst. Gen. Counsel, S. E. C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, David Ferber, Sol., and Harvey A. Rowen, Atty., S. E. C., Washington, D. C., on the brief), for respondent.

Before WATERMAN, MOORE and KAUFMAN, Circuit Judges.

MOORE, Circuit Judge.

Aaron Fink, petitioner, was employed as a registered representative for the broker-dealer firm of Richard Bruce & Company (Bruce & Co.) from June 1960 to November 1962. During the first part of 1962, Bruce & Co. served as managing underwriter for a Regulation A1 issue of securities by Honig's-Parkway, Inc. (Honig's).

In a private proceeding brought by the Securities and Exchange Commission (the...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases