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FEENEY v. SECURITIES AND EXCHANGE COMMISSION

No. 76-2026.

564 F.2d 260 (1977)

Robert E. FEENEY, Harvey L. Velgersdyk and John R. Patterson, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eighth Circuit.

Decided November 3, 1977.

Attorney(s) appearing for the Case

Michael A. Stapleton, Dubuque, Iowa, for petitioners.

James H. Schropp, Atty., Securities & Exchange Commission, Washington, D. C., for respondent; David Ferber, Sol., and Lawrence A. Horn, Atty., Securities & Exchange Commission, Washington, D. C., on the brief.

Before GIBSON, Chief Judge, and LAY and HEANEY, Circuit Judges.

GIBSON, Chief Judge.

The petitioners, Robert E. Feeney, Harvey L. Velgersdyk and John R. Patterson, were formerly branch managers of Kirsch, Chandler, Feeney and Co., Inc., a registered securities dealer operating in the state of Iowa. In their capacities as branch managers and securities salesmen they sold unregistered securities composed of notes and mortgages purportedly secured by Arizona real estate. The notes and mortgages, issued by New Life Trust, Inc., were...

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