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SECURITIES AND EXCHANGE COMMISSION v. HOWATT

No. 75-1150.

525 F.2d 226 (1975)

SECURITIES AND EXCHANGE COMMISSION, Applicant-Appellee, v. Robert HOWATT et al., Respondents-Appellants.

United States Court of Appeals, First Circuit.

Decided October 31, 1975.

Attorney(s) appearing for the Case

Jeffrey M. Smith, Boston, Mass., with whom Paul T. Smith and Harvey R. Peters, Boston, Mass., were on brief, for respondents-appellants.

Michael J. Stewart, Asst. Gen. Counsel, with whom Lawrence E. Nerheim, Gen. Counsel, David Ferber, Sol., and Martin S. Berglas, Atty., Washington, D. C., were on brief for applicant-appellee.

Before COFFIN, Chief Judge, CAMPBELL, Circuit Judge, and THOMSEN, Senior District Judge.

LEVIN H. CAMPBELL, Circuit Judge.

This is an appeal from an order entered after a hearing in the district court enforcing subpoenas duces tecum that were issued by the Securities and Exchange Commission in the course of an investigation into alleged securities law violations.1

In its verified complaint and attached exhibits, and orally at the district court hearing, the SEC represented as follows: On May 8, 1973, it had issued...

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