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SECURITIES & EXCHANGE COM'N v. ALAN F. HUGHES, INC.

No. 636, Docket 72-2166.

481 F.2d 401 (1973)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, Securities Investor Protection Corporation, Applicant-Appellee, v. ALAN F. HUGHES, INC. and Alan F. Hughes, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided June 21, 1973.

Attorney(s) appearing for the Case

John Barry Donohue, Jr., Washington, D. C. (Shipley, Akerman, Stein & Kaps, Washington, D. C., on the brief), for defendants-appellants.

Wilfred R. Caron, Associate Gen. Counsel, Washington, D. C. (Theodore H. Focht, Gen. Counsel, Francis L. Carter, Washington, D. C., on the brief), for appellee Securities Investor Protection Corp.

Winthrop J. Allegaert, New York City, for Trustee.

Before MOORE, FRIENDLY and FEINBERG, Circuit Judges.

FEINBERG, Circuit Judge:

In August 1971, the Securities and Exchange Commission (SEC) filed a complaint in the United States District Court for the Northern District of New York alleging that Alan F. Hughes, Inc., a registered broker-dealer, aided and abetted by its president, Alan F. Hughes, had violated various provisions of the Securities Exchange Act of 1934. The complaint sought an injunction and appointment of a receiver. This relief was granted. Thereafter...

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