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S.E.C. v. NAFTALIN

No. 20424.

460 F.2d 471 (1972)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, William T. Dolan, Receiver, Appellee, v. Neil T. NAFTALIN, Defendant-Appellant.

United States Court of Appeals, Eighth Circuit.

Decided April 17, 1972.

Attorney(s) appearing for the Case

Joe A. Walters, O'Connor, Green, Thomas, Walters & Kelly, Frank J. Walz, Minneapolis, Minn., for defendant-appellant.

Gary C. Hoffman, Hyass, Weisman & King, Chartered, Robert J. King, Minneapolis, Minn., for plaintiff-appellee.

Before JOHNSEN, GIBSON and LAY, Circuit Judges.

JOHNSEN, Senior Circuit Judge.

A statutory suit under 15 U.S.C. §§ 78u(e) and 77t(b) was instituted by the Securities and Exchange Commission against Naftalin & Co., Inc., a registered broker and dealer in securities, and against Neil T. Naftalin individually, the corporation's president, majority stockholder and person controlling the business, to enjoin certain violative acts and practices which had been engaged in, and for the appointment of a receiver...

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