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HAGEN INVESTMENTS, INC. v. S. E. C.

No. 71-1658.

460 F.2d 1034 (1972)

HAGEN INVESTMENTS, INC. and Edward J. Hagen, Appellants, v. SECURITIES AND EXCHANGE COMMISSION, Appellee.

United States Court of Appeals, Tenth Circuit.

June 9, 1972.

Attorney(s) appearing for the Case

George F. Saunders, Oklahoma City, Okl., for appellants.

Harvey L. Pitt, Sp. Counsel, S. E. C. (G. Bradford Cook, Gen. Counsel, David Ferber, Sol., and David J. Romanski, Atty., S. E. C., on the brief), for appellee.

Before LEWIS, Chief Judge, and KILKENNY and DOYLE, Circuit Judges.

WILLIAM E. DOYLE, Circuit Judge.

Before us are petitions for review of an order of the Securities and Exchange Commission dismissing review proceedings of a decision rendered by the Board of Governors of the National Association of Securities Dealers, Inc. The corporate petitioner was formerly registered with the S.E.C. as a broker and dealer in securities. The individual petitioner, Edward J. Hagen, is president of the corporate petitioner.

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