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SECURITIES & EXCH. COM'N v. KELLY ANDREWS & BRADLEY, INC.

No. 71 Civ. 5469.

341 F.Supp. 1201 (1972)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. KELLY ANDREWS & BRADLEY, INC., et al., Defendants.

United States District Court, S. D. New York.

April 25, 1972.

Attorney(s) appearing for the Case

Kevin Thomas Duffy, Regional Administrator, New York City, for plaintiff; Paul Chernis, Dennis J. Block, Franklin D. Ormsten, Marc N. Epstein, New York City, of counsel.

George S. Meissner, Brooklyn, N. Y., for defendant Marando.

OPINION

EDWARD WEINFELD, District Judge.

The Securities and Exchange Commission (Commission) commenced this action against Kelly Andrews & Bradley, Inc. (Kelly Andrews), a registered broker-dealer; Stuart Schiffman, its president and a director; Perry Scheer, its secretary and treasurer, and Fred Miller, a director and its vice president. The complaint charged them with continuing violations of the anti-fraud, net capital, bookkeeping and financial reporting...

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