Lawrence LEVINE, Walter Wax, Morris Kopel, M. G. Davis & Co., Inc., Petitioners,
v.
SECURITIES AND EXCHANGE COMMISSION, Respondent.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Argued December 14, 1970.
Decided January 6, 1971.
Attorney(s) appearing for the Case
Arthur M. Handler, New York City (Golenbock & Barell, Seymour Kleinman, Arthur C. Silverman, Alan Kardon, New York City, of counsel), for petitioners.
David Ferber, Sol., S. E. C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, Richard E. Nathan, Sp. Counsel, Kathryn L. Powers, Atty., S. E. C., Washington, D. C., on the brief), for respondent.
Before MOORE, KAUFMAN and HAYS, Circuit Judges.
United States Court of Appeals, Second Circuit.
MOORE, Circuit Judge:
In this proceeding1 the Securities and Exchange Commission (the Commission) revoked the broker-dealer registration of M. G. Davis & Co., Inc. (Davis). Lawrence Levine (Levine), Walter Wax (Wax), Morris Kopel (Kopel) and Harold R. Rosenberg (Rosenberg), the individual petitioners, were permanently barred from association with any broker-dealer except that Levine (after six months) and Wax, Kopel and Rosenberg ...
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