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LLOYD CARR & CO. v. COMMODITY FUTURES TRADING COM'N

No. 444, Docket 77-4146.

567 F.2d 1193 (1977)

LLOYD CARR & CO., Lloyd Carr Financial Co., James A. Carr and Charles P. LeMieux III, Petitioners, v. COMMODITY FUTURES TRADING COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided December 30, 1977.

Attorney(s) appearing for the Case

Barry H. Garfinkel, New York City (Skadden, Arps, Slate, Meagher & Flom, Leslie H. Arps, Daniel J. Piliero, III, Douglas M. Kraus, New York City, Bushnell, Gage & Reizen, George E. Bushnell, Jr., Noel A. Gage, Daniel J. Henry, Jr., Lynn Shecter, Southfield, Mich.), for petitioners.

Richard E. Nathan, Washington, D. C., (John G. Gaine, Frederic T. Spindel, Richard A. Levie, Thomas B. Goodbody, Washington, D. C.), for respondent.

Before FEINBERG, MANSFIELD, VAN GRAAFEILAND, Circuit Judges.

VAN GRAAFEILAND, Circuit Judge:

This is a petition for review of an order of the Commodity Futures Trading Commission denying petitioners' application for a Futures Commission Merchant (FCM) license and directing them to cease and desist from further violations of the Commission's regulations. 17 C.F.R. § 32.1-32.10 (1977). Petitioners are two partnerships, Lloyd Carr & Co. and Lloyd Carr Financial Co., and the individual partners, James A. Carr and...

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