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SECURITIES & EXCH. COM'N v. FIFTH AVE. COACH LINES, INC.

Nos. 137-140, Dockets 33119-33122.

435 F.2d 510 (1970)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. FIFTH AVENUE COACH LINES, INC., Victor Muscat, Edward Krock, Roy M. Cohn, Defendants-Appellants, and Thomas A. Bolan, Defendant.

United States Court of Appeals, Second Circuit.

Decided December 8, 1970.

Attorney(s) appearing for the Case

Myron J. Greene, New York City (Millard & Greene, and Howard R. Udell, New York City, of counsel), for defendant-appellant Fifth Avenue Coach Lines, Inc.

Murray I. Gurfein, New York City (Goldstein, Gurfein, Shames & Hyde, and Mel P. Barkan, New York City, of counsel), for defendant-appellant, Victor Muscat.

Roy M. Cohn, pro se.

Theodore Sonde, Asst. Gen. Counsel, S. E. C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, Walter P. North, Associate Gen. Counsel, and Kathryn L. Powers, Atty., S. E. C., Washington, D. C., of counsel), for plaintiff-appellee.

Before MOORE, FRIENDLY and ADAMS, Circuit Judges.

ADAMS, Circuit Judge:

This appeal raises important questions regarding the application of the Investment Company Act of 1940 ("the 1940 Act"), 15 U.S.C. § 80a-1 et seq. As we view the case, the central issue is whether Fifth Avenue Coach Lines, Inc. ("Fifth") had become an investment company within the meaning of § 3(a) (1)1 of the 1940 Act (15 U.S.C. § 80a-3 (a) (1)) by June 30...

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