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SECURITIES AND EXCHANGE COMMISSION v. BARRACO

No. 85-70.

438 F.2d 97 (1971)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. Paul BARRACO, Joan Barraco and Jerry Strand, Defendants-Appellees.

United States Court of Appeals, Tenth Circuit.

March 5, 1971.

Attorney(s) appearing for the Case

Richard E. Nathan, Special Counsel, Chicago, Ill. (Philip A. Loomis, Jr., Gen. Counsel, David Ferber, Sol., and Stuart A. Morse, Atty., Securities & Exchange Commission, Washington, D. C., on the brief) for appellant.

Daniel L. Berman, Salt Lake City, Utah (Mary Lou Godbe, Salt Lake City, Utah, on the brief) for appellee Jerry Strand.

L. R. Gardiner, Jr., Salt Lake City, Utah (Norman S. Johnson, Salt Lake City, Utah, on the brief) for appellees Paul Barraco and Joan Barraco.

Before LEWIS, Chief Judge, JOHNSEN, Senior Circuit Judge, and HOLLOWAY, Circuit Judge.

JOHNSEN, Senior Circuit Judge.

The Securities and Exchange Commission brought suit under section 21(e) of the Securities and Exchange Act of 1934, 15 U.S.C. § 78u(e), for an injunction against Barraco & Co., a Utah corporation, as a registered broker and dealer, on some violations by it of the Act, and against Paul Barraco, Joan Barraco and Jerry Strand, as officers of the corporation, and also against them in their individual capacity as having personally...

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