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SECURITIES AND EXCHANGE COMMISSION v. MILNER

No. 72-1291.

474 F.2d 162 (1973)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Appellee, and Securities Investor Protection Corporation, Applicant, Appellee, v. Harry G. MILNER, etc., et al., Defendants, Appellees, Doris L. Higgins et al., Creditors, Appellants.

United States Court of Appeals, First Circuit.

Decided February 20, 1973.

Attorney(s) appearing for the Case

Richard S. Bowers, Jr., Brookline, Mass., with whom Robert S. Marsh, Waltham, Mass., was on brief, for appellants.

Gordon A. Martin, Jr., Boston, Mass., with whom Martin, Morse & Wylie, Boston, Mass., David M. Roseman, and Tyler & Reynolds, Boston, Mass., were on brief, for appellee, Gordon A. Martin, Jr., Trustee of Karle R. Berglund d/b/a Colonial Investment Securities.

Theodore H. Focht, Washington, D. C., with whom Wilfred R. Caron, Washington, D. C., was on brief, for appellee Securities Investor Protection Corp.

Before COFFIN, Chief Judge, ALDRICH and CAMPBELL, Circuit Judges.

LEVIN H. CAMPBELL, Circuit Judge.

Appellants Higgins and Landgren were employed as securities salesmen by Karle R. Berglund d/b/a Colonial Investment Securities ("Colonial"), formerly a registered broker-dealer of securities, whose business is now being liquidated by a Trustee appointed in the district court under provisions of the Securities Investor Protection Act of 1970 (the "Act"), 15 U.S.C. § 78aaa et seq. Higgins has claims against Colonial for commissions...

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