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A. J. WHITE & CO. v. SECURITIES & EXCH. COM'N

No. 76-1420.

556 F.2d 619 (1977)

A. J. WHITE & CO. and Allen J. White, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, First Circuit.

Decided June 15, 1977.

Attorney(s) appearing for the Case

J. Joseph Nugent, Jr., Providence, R. I., with whom Nugent & Nugent, Providence, R. I., was on brief, for petitioners.

David Ferber, Sol. to the Commission, Washington, D.C., with whom Alan Rosenblat, Asst. Gen. Counsel, and Linda W. Jarett, Atty., Securities and Exchange Commission, Washington, D.C., were on brief, for respondent.

Before COFFIN, Chief Judge, ALDRICH and CAMPBELL, Circuit Judges.

ALDRICH, Senior Circuit Judge.

This is a petition for review of an SEC order revoking the registration of A. J. White & Co. (White & Co.), a broker-dealer, and barring its president, Allen J. White (White), from association with any broker-dealer. The order provides that after one year White may apply for leave to become associated with a broker-dealer in a nonproprietary capacity under adequate supervision.1 Petitioner White ...

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