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ARTHUR LIPPER CORP. v. S. E. C.

No. 165, Docket 76-4067.

547 F.2d 171 (1976)

ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided December 10, 1976.

Rehearing Denied March 22, 1977.

Attorney(s) appearing for the Case

John A. Dudley, Washington, D. C. (Howard Sanford Klotz, New York City, of counsel), for petitioners.

Stanley Sporkin, Washington, D. C. (Harvey L. Pitt, Gen. Counsel, S. E. C., Paul Gonson, Associate Gen. Counsel, Alan Rosenblat, Asst. Gen. Counsel, Daniel L. Goelzer, Washington, D. C., of counsel), for respondent.

Before FRIENDLY, HAYS and MULLIGAN, Circuit Judges.

Rehearing Denied March 22, 1977. See 551 F.2d 915.

FRIENDLY, Circuit Judge:

This petition to review a disciplinary order of the Securities and Exchange Commission (SEC), Securities Exchange Act Release No. 11773 (Oct. 24, 1975), is the latest chapter in the extensive litigation resulting from the financial debacle of IOS, Ltd., S.A. (IOS) and the off-shore funds for which it was investment adviser and distributor. See Bersch...

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