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NEES v. SECURITIES AND EXCHANGE COMMISSION

Nos. 22487, 22459.

414 F.2d 211 (1969)

Robert W. NEES, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. William REIGEL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Ninth Circuit.

July 9, 1969.

Attorney(s) appearing for the Case

Sander L. Johnson, Los Angeles, Cal. (argued) for Nees.

Bernard I. Segal, Los Angeles, Cal. (argued) for Reigel.

David Ferber (argued), Solicitor, Philip A. Loomis, Jr., Gen. Counsel, Donald M. Feuerstein, Asst. Gen. Counsel, Richard E. Nathan, Atty., S. & E. C., Washington, D. C., for appellee.

Before BARNES and CARTER, Circuit Judges and TAYLOR, District Judge.

BARNES, Circuit Judge:

These two cases, combined on appeal, challenge an order of the Securities and Exchange Commission barring both petitioners from association with any securities broker or dealer. Petitioners, who were salesmen for Century Securities Company, were found to have willfully violated, or to have aided and abetted the violation of, the anti-fraud provisions of § 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a)1

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