H. PERINE, Plaintiff-Appellant,
v.
WILLIAM NORTON & COMPANY, INC., et al., Defendants,
William Norton & Company, Inc., Defendant-Respondent.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Argued October 4, 1974.
Decided December 20, 1974.
Attorney(s) appearing for the Case
Stanley L. Kaufman, New York City (Allan K. Peckel, Kaufman, Taylor, Kimmel & Miller, New York City, of counsel), for plaintiff-appellant.
Donald A. Derfner, New York City (Robert Bartels, Richard M. Kraver, Feldshuh & Frank, New York City, of counsel), for defendant-respondent.
Lawrence E. Nerheim, Gen. Counsel, S.E.C., Washington, D. C. (Walter P. North, Senior Asst. Gen. Counsel, Jacob H. Stillman, Asst. Gen. Counsel, Theodore L. Freedman, Atty., S.E.C., Washington, D. C., of counsel), for amicus curiae Securities and Exchange Commission.
Before HAYS, ANDERSON and MANSFIELD, Circuit Judges.
United States Court of Appeals, Second Circuit.
MANSFIELD, Circuit Judge:
Invoking § 16(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78p(b),1 commonly known as the "short swing profits" provision, H. Perine, a stockholder of Designcraft Jewel Industries, Inc. ("Designcraft"), brought this stockholder's derivative action against William Norton & Company, Inc. ("Norton"), a broker-dealer in securities, to recover the profits earned by it in its underwriting of...
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