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SECURITIES & EXCH. COM'N v. NORTH AMERICAN R. & D. CORP.

Nos. 61-63 and 180, Dockets 32246-32248 and 33817.

424 F.2d 63 (1970)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. NORTH AMERICAN RESEARCH AND DEVELOPMENT CORP., Edward White and K. Ralph Bowman, Defendants-Appellants. SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. NORTH AMERICAN RESEARCH AND DEVELOPMENT CORP. et al., Defendants, and Martin Orenzoff, Alfred Blumberg, Lewis Dillman and Lars Hagglof & Co., Ltd., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided March 25, 1970.

Attorney(s) appearing for the Case

Richard E. Nathan, Atty., S.E.C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, David Ferber, Solicitor, and Meyer Eisenberg, Associate Gen. Counsel, S.E.C., Washington, D. C., on the brief), for Securities and Exchange Commission.

Leonard R. Glass, New York City (Glass & Greenberg, New York City and Arnold & Porter, Co-Counsel, Washington, D. C., on the brief), for defendants-appellants.

Spencer Pinkham, New York City (Parr, Doherty, Polk & Sargent, New York City, on the brief), for defendant-appellee Martin Orenzoff.

Ronald B. Bianchi, New York City (Glass & Greenberg, New York City and Arnold & Porter, Co-Counsel, Washington, D. C., on the brief), for defendant-appellee Lewis Dillman.

Before MEDINA, MOORE and FEINBERG, Circuit Judges.

MEDINA, Circuit Judge:

These appeals require us to consider once again the scope of Section 5 of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and the SEC's frequently litigated Rule 10b-5. The District Court preliminarily enjoined appellants North American Research and Development Corp., Edward White, its controlling stockholder and Chairman of its Board of Directors, and K. Ralph Bowman, its Secretary-Treasurer and a member of...

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