SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant,
v.
GEON INDUSTRIES, INC., et al., Defendants-Appellants,
Frank Bloom and Edwards & Hanly, Defendants-Appellees.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Argued November 28, 1975.
Decided February 9, 1976.
Attorney(s) appearing for the Case
Stanley Sporkin, Washington, D. C. (Lawrence E. Nerheim, Gen. Counsel, Securities and Exchange Commission, Washington, D. C., David Ferber, Sol., Richard E. Nathan, Asst. Gen. Counsel, Washington, D. C., Van P. Carter, Washington, D. C., of counsel), for plaintiff-appellant Securities and Exchange Commission.
Jay G. Strum, New York City (Kaye, Scholer, Fierman, Hays & Handler and Lewis J. Korman, New York City, of counsel), for defendants-appellants Geon Industries, Inc. and George O. Neuwirth and defendant-appellee Frank Bloom.
Delson & Gordon, New York City (Evan L. Gordon, New York City, of counsel), for defendant-appellee Edwards & Hanly.
Before LUMBARD, FRIENDLY and MULLIGAN, Circuit Judges.
United States Court of Appeals, Second Circuit.
FRIENDLY, Circuit Judge:
These appeals from a judgment in an action by the Securities and Exchange Commission (SEC) in the District Court for the Southern District of New York, 381 F.Supp. 1063 (1974), raise some novel questions about liability for "tipping" under Rule 10b-5; about the standard of frankness which a corporate executive is required to observe in answering questions from an exchange on which his company's stock is...
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