SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, and
Securities Investor Protection Corporation, Applicant-Appellee,
v.
ALAN F. HUGHES, INC. and Alan F. Hughes, Defendants-Appellants.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Argued March 10, 1972.
Decided April 21, 1972.
Attorney(s) appearing for the Case
John Barry Donohue, Jr., Washington, D. C. (Shipley, Akerman, Stein & Kaps, Washington, D. C., on the brief), for appellants.
Richard E. Nathan, Asst. Gen. Counsel, SEC, Washington, D. C. (G. Bradford Cook, Gen. Counsel, and David Ferber, Solicitor, SEC, Washington, D. C., on the brief), for Securities and Exchange Commission.
Theodore H. Focht, Gen. Counsel, SIPC, Washington, D. C. (B. G. Minisman, Jr., Atty., SIPC, Washington, D. C., on the brief), for Securities Investor Protection Corporation.
Before FRIENDLY, Chief Judge, TIMBERS, Circuit Judge, and JAMESON, District Judge.
United States Court of Appeals, Second Circuit.
TIMBERS, Circuit Judge:
In this case of first impression under the Securities Investor Protection Act of 1970,1 the essential issue raised on these appeals is the propriety of the district court's adjudication that the customers of Alan F. Hughes, Inc., a registered broker-dealer, were in need of the protection provided by that Act, the primary purpose of which is to afford protection to public...
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