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SECURITIES & EXCH. COM'N v. C. R. RICHMOND & CO.

No. 75-2384.

565 F.2d 1101 (1977)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. C. R. RICHMOND & CO., and Curtis R. Richmond, Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

December 7, 1977.

Attorney(s) appearing for the Case

Darrell L. Johnson, of Lindholm & Johnson, Los Angeles, Cal., and Nathan Markowitz, Beverly Hills, Cal., for defendants-appellants.

James H. Schropp, Washington, D. C., for plaintiff-appellee.

Before ELY and CHAMBERS, Circuit Judges, and LINDBERG, District Judge.

LINDBERG, District Judge:

Appellant C. R. Richmond and Company is registered as an investment adviser with the Security and Exchange Commission. The District Court, sitting without a jury, enjoined him from publishing a book which explains his services, describes a method of investment and its success rate, and implies that great profits will result. The District Court found this activity in violation of § 206 of the Investment Advisers Act of 1940, 15 U.S.C...

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