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NAFTALIN & CO. v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Nos. 71-1634, 71-1672.

469 F.2d 1166 (1972)

In the Matter of NAFTALIN & CO., INC., a Minnesota Corporation, Alleged Bankrupt, Appellee-Cross Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., a Delaware Corporation, et al., Petitioners-Appellants-Cross Appellees.

United States Court of Appeals, Eighth Circuit.

Decided November 29, 1972.

Attorney(s) appearing for the Case

Burton R. Rissman, Chicago, Ill., for Kipnis, Donaldson and DuPont.

L. H. May, Jr., Minneapolis, Minn., for Merrill Lynch.

Joe A. Walters, Minneapolis, Minn., for Naftalin.

Before VAN OOSTERHOUT and MURRAH, Senior Circuit Judges, and HEANEY, Circuit Judge.

MURRAH, Senior Circuit Judge.

The primary controversy in this bankruptcy proceeding involves the proper interpretation and application of various sections of the Securities Exchange Act of 1934, 15 U.S.C. § 78a et seq., and its implementing regulations. The appellants, six firms engaged in business as securities brokers and dealers, filed involuntary bankruptcy petitions against Naftalin & Company, Inc., also a registered securities broker and dealer, alleging...

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