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SECURITIES AND EXCHANGE COMMISSION v. SPECTRUM, LTD.

No. 93, Docket 72-2369.

489 F.2d 535 (1973)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant, v. SPECTRUM, LTD., et al., Defendants, Stuart Schiffman, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided December 4, 1973.

Attorney(s) appearing for the Case

Theodore Sonde, Asst. Gen. Counsel, Washington, D. C. (Walter P. North, Acting Gen. Counsel, David Ferber, Sol., Mark Q. Connelly, Atty., Securities and Exchange Commission, Washington, D. C., on the brief), for plaintiff-appellant.

Barry Feiner, New York City (Feiner, Curtis, Smith & Goldman, New York City, on the brief), for defendant-appellee.

Before KAUFMAN, Chief Judge, and SMITH and OAKES, Circuit Judges.

IRVING R. KAUFMAN, Chief Judge:

The securities laws provide a myriad of safeguards designed to protect the interests of the investing public. Effective implementation of these safeguards, however, depends in large measure on the members of the bar who serve in an advisory capacity to those engaged in securities transactions. The standard of diligence demanded of the legal profession to meet this responsibility is a matter on which we are required to comment in the...

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