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SECURITIES & EXCH. COM'N v. GUARANTY BOND & SECUR. CORP.

No. 73-1451.

496 F.2d 145 (1974)

SECURITIES AND EXCHANGE COMMISSION, Appellee, v. GUARANTY BOND AND SECURITIES CORP. et al., Defendants, James C. Barbour, Receiver, Appellant.

United States Court of Appeals, Sixth Circuit.

Decided April 23, 1974.

Attorney(s) appearing for the Case

W. Ovid Collins, Jr., Cornelius, Collins, Higgins & White, Nashville, Tenn., on brief, for defendant-appellant James C. Barbour.

Michael A. Macchiaroli, Washington, D. C., for plaintiff-appellee S.E.C.; Lawrence E. Nerheim, Gen. Counsel, David Ferber, Solicitor, Securities and Exchange Comm., Washington, D. C., on brief.

Wilfred R. Caron, Associate Gen. Counsel, Securities Investor Protection Corp., Washington, D. C., for appellee S.I.P.C., Theodore H. Focht, Gen. Counsel, Securities Investor Protection Corp., Washington, D. C., on brief.

Before PHILLIPS, Chief Judge, CELEBREZZE and MILLER, Circuit Judges.

WILLIAM E. MILLER, Circuit Judge.

Guaranty Bond and Securities Corporation was registered with the S.E.C. as a broker and dealer in securities as required by Section 15(b) of the Securities Exchange Act of 1934. As part of its business, it promoted the sale of church bonds. On December 22, 1970, the S.E.C. filed in the court below a complaint against Guaranty alleging net capital violations contrary to the federal securities laws including Section 15(c)(3) of the...

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