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SLOAN v. SECURITIES AND EXCHANGE COMMISSION

Nos. 36, 266, Dockets 75-4087, 76-4110.

547 F.2d 152 (1976)

Samuel H. SLOAN d/b/a Samuel H. Sloan & Co., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, et al., Respondents. Samuel H. SLOAN, Petitioner, v. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided November 18, 1976.

As Amended on Denial of Rehearing December 27, 1976.

Attorney(s) appearing for the Case

Samuel H. Sloan, pro se.

David Ferber, Sol. to the Commission and Frederick B. Wade, Securities and Exchange Commission, Washington, D. C., for respondents.

Before MEDINA, ANDERSON and GURFEIN, Circuit Judges.

ROBERT P. ANDERSON, Circuit Judge:

Case No. 75-4087

This is the appellant Samuel H. Sloan's latest maneuver in his long struggle to avoid compliance with the Securities Exchange Act and disciplinary measures brought by the S.E.C.1 He is now seeking a review of the order of the Commission, dated April 28, 1975, revoking the broker-dealer registration of Samuel H. Sloan d/b/a Samuel H. Sloan & Co., and barring him from...

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