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SECURITIES AND EXCHANGE COMMISSION v. COFFEY

Nos. 73-1396, 73-1397.

493 F.2d 1304 (1974)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. William V. COFFEY, Defendant-Appellant, and John M. King, Defendant-Appellant.

United States Court of Appeals, Sixth Circuit.

Decided March 28, 1974.

Attorney(s) appearing for the Case

Jack R. Alton, Columbus, Ohio, for defendants-appellants; Lane, Alton & Horst, Columbus, Ohio, on briefs.

Paul Gonson, Asst. Gen. Counsel, Washington, D. C., for plaintiff-appellee; Lawrence E. Nerheim, Gen. Counsel, David Ferber, Sol., Martin S. Berglas, Atty., S.E.C., Washington, D. C., Donald Dreyfus, Atty., Chicago Regional Office, S.E.C., Chicago, Ill., on brief.

Before CELEBREZZE, Circuit Judge, McALLISTER, Senior Circuit Judge, and WILSON, District Judge.

CELEBREZZE, Circuit Judge.

This case presents novel issues for this Circuit regarding the Securities and Exchange Commission's ability to enjoin corporate officials personally for alleged corporate violations of the federal securities laws, specifically, § 17(a)(1) and (3) of the 1933 Securities Act and § 10(b) of the 1934 Securities Exchange Act, and Rule 10b-5(1) and (3) promulgated thereunder. Appellants are...

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