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JAFFEE & COMPANY v. SECURITIES AND EXCHANGE COMMISSION

No. 835, Docket 34859.

446 F.2d 387 (1971)

JAFFEE & COMPANY and Wilton L. Jaffee, Jr., Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided June 18, 1971.

Attorney(s) appearing for the Case

Jerome J. Londin, New York City (Carro, Spanbock & Londin, New York City, on the brief), and Wilton L. Jaffee, Jr., pro se, for petitioners.

Richard E. Nathan, Special Counsel, Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel; David Ferber, Solicitor, and James J. Sexton, Atty., Securities and Exchange Commission, Washington, D. C.), for respondent.

Before KAUFMAN, ANDERSON and MANSFIELD, Circuit Judges.

KAUFMAN, Circuit Judge:

Petitioners Jaffee and Jaffee & Co., a registered broker-dealer, seek review of an order of the Securities and Exchange Commission dated April 20, 1970, prescribing that each petitioner be disciplined on account of Jaffee's violations of Rule 10b-6, 17 C.F.R. § 240.10b-6, promulgated under Section 10(b) of the Securities and Exchange Act of 1934, 15 U.S.C. § 78j(b). We affirm the order with respect to Jaffee but hold that Jaffee...

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