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GROSS v. SECURITIES AND EXCHANGE COMMISSION

No. 40, Docket 33159.

418 F.2d 103 (1969)

Stanley GROSS, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Second Circuit.

Decided November 10, 1969.

Attorney(s) appearing for the Case

Melvin A. Albert, New York City (Gordon, Brady, Keller & Ballen, New York City, on the brief), for petitioner.

Paul Gonson, Asst. Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, David Ferber, Solicitor, and Harvey A. Rowen, Atty., Securities and Exchange Commission, Washington, D. C., on the brief), for respondent.

Before MOORE, HAYS and ANDERSON, Circuit Judges.

MOORE, Circuit Judge:

I.

In May, 1965, the Securities and Exchange Commission (the Commission) instituted private administrative proceedings against the broker-dealer firm of Richard Bruce & Co. (Bruce & Co.) and six individuals associated with the firm in connection with transactions in the stock of two speculative issues, Honig's-Parkway, Inc. (Honig's) and Transition Systems, Inc. (Transition). The hearing examiner made findings and ordered remedial...

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