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SECURITIES AND EXCHANGE COMMISSION v. LUM'S, INC.

No. 70 Civ. 5280 HRT.

365 F.Supp. 1046 (1973)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. LUM'S, INC., et al., Defendants.

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

September 12, 1973.

Attorney(s) appearing for the Case

William D. Moran, Regional Administrator, Securities and Exchange Commission, by John F. X. Peloso, Allan A. Martin, and Janice Handler, New York City, for plaintiff.

Royall, Koegel & Wells, New York City, by William R. Glendon and Guy C. Quinlan, New York City, for defendants Lum's, Inc. and Melvin Chasen.

Simpson, Thacher & Bartlett, New York City, by Stephen P. Duggan, Jr., James J. Hagan, and Michael V. Corrigan, New York City, for defendant Lehman Brothers.

OPINION

TYLER, District Judge.

The Securities and Exchange Commission ("plaintiff" or "SEC") filed its civil complaint for an injunction on December 2, 1970, alleging violations by defendants of Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. 240.10b-5. The case was tried before the undersigned, sitting without a jury, on April 30...

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