SECURITIES INVESTOR PROTECTION CORPORATION, Applicant-Appellee,
v.
EXECUTIVE SECURITIES CORPORATION, Defendant-Appellant.
SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee,
v.
EXECUTIVE SECURITIES CORPORATION et al., Defendants-Appellants.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Heard May 4, 1977.
Decided May 20, 1977.
Attorney(s) appearing for the Case
John W. Barnett, New Haven, Conn. (J. Drake Turrentine, Wiggin & Dana, New Haven, Conn., of counsel), for claimant-appellant Yale.
Thomas C. O'Keefe, New York City (Stephen W. Greiner, Lawrence S. Leibowitz, Wilkie Farr & Gallagher, New York City, of counsel), for claimant-appellant Shearson Hayden Stone, Inc.
Grant S. Lewis, New York City (Kimba Wood Lovejoy, Leboeuf, Lamb Leiby & MacRae, New York City, of counsel), for trustee-appellee.
Theodore H. Focht, Gen. Counsel, Securities Investor Protection Corp., Washington, D. C., for applicant-appellee Securities Investor Protection Corp.
Cadwalader, Wickersham & Taft, New York City (John J. Walsh, New York City, of counsel) on brief, for Columbia University as amicus curiae.
Before WATERMAN and GURFEIN, Circuit Judges, and BLUMENFELD, District Judge.
United States Court of Appeals, Second Circuit.
PER CURIAM:
Yale University and Shearson Hayden Stone, Inc. appeal from an order of the district court, 423 F.Supp. 94 (S.D.N.Y.1976), affirming the decision of the bankruptcy judge denying appellants preferential status as "customers" under the Securities Investor Protection Act of 1970, 15 U.S.C. § 78aaa et seq. Appellants entered into secured loan agreements with Executive Securities Corporation, a broker-dealer...
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