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SECURITIES AND EXCHANGE COM'N v. CHARLES PLOHN & CO.

No. 271, Docket 35348.

433 F.2d 376 (1970)

SECURITIES AND EXCHANGE COMMISSION, Appellee, v. CHARLES PLOHN & CO., Appellants.

United States Court of Appeals, Second Circuit.

Decided October 20, 1970.

Attorney(s) appearing for the Case

Kevin Thomas Duffy, Regional Adm'r, New York City (Philip A. Loomis, Jr., Gen. Counsel, Walter P. North, Associate Gen. Counsel, Jacob H. Stillman, Asst. Gen. Counsel, Alan Blank, Atty., Securities and Exchange Commission, Washington, D. C., Marvin G. Pickholz, Branch Chief, Robert D. Schulman, Atty., Securities and Exchange Commission, New York City, on the brief), for appellee.

Robert Arum, New York City (Michael Heitner, Mark N. Bloom, Phillips, Nizer, Benjamin, Krim & Ballon, New York City, on the brief), for appellants.

Before FRIENDLY, SMITH and HAYS, Circuit Judges.

HAYS, Circuit Judge:

On August 27, 1970, the Securities and Exchange Commission filed suit in the United States District Court for the Southern District of New York against defendant Charles Plohn & Co., a broker-dealer registered with the Commission, and a suspended member firm of the New York Stock Exchange, charging it with violations of Section 8(c), 15(c)(2) and 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. §§ 78h(c), 78o(c) (2...

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