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ABRAHAMSON v. FLESCHNER

No. 212, Docket 75-7203.

568 F.2d 862 (1977)

Robert ABRAHAMSON and Marjorie Abrahamson, Plaintiffs-Appellants, v. Malcolm K. FLESCHNER et al., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided February 25, 1977.

Rehearing Denied January 6, 1978.

Certiorari Denied May 16, 1978.

Attorney(s) appearing for the Case

Ronald H. Alenstein, New York City (Kenneth A. Barry, and Shea, Gould, Climenko, Kramer & Casey, New York City, on the brief), for plaintiffs-appellants Robert Abrahamson and Marjorie Abrahamson.

Richard E. Carlton, New York City (Robert D. Owen, James E. Tyrrell, and Sullivan & Cromwell, New York City, on the brief), for defendants-appellees Malcolm K. Fleschner, William J. Becker and Fleschner Becker Associates.

Richard G. McGahren, New York City (Kenneth A. Sagat, and D'Amato, Costello & Shea, New York City, on the brief), for defendant-appellee Harry Goodkin & Co.

Mark M. Jaffe, New York City (Allan J. Berdon, Joseph F. Aman, and Hill, Betts & Nash, New York City, on the brief), for defendant-appellee Harold B. Ehrlich.

Harvey L. Pitt, Gen. Counsel, Paul Gonson, Associate Gen. Counsel, David J. Romanski, Asst. Gen. Counsel, James H. Schropp, Atty., SEC, Washington, D. C., for Securities and Exchange Commission, amicus curiae.

Before MANSFIELD, TIMBERS and GURFEIN, Circuit Judges.

Rehearing En Banc Unanimously Denied January 6, 1978.

TIMBERS, Circuit Judge:

Of the several questions presented under the antifraud provisions of the federal securities laws, those under the Investment Advisers Act of 1940 appear to be of first impression at the appellate level.*

The appeal is from a judgment entered in the Southern District of New York, Robert L. Carter, District Judge, 392 F...

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