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GENERAL SECURITIES CORP. v. S. E. C.

No. 76-2728.

583 F.2d 1108 (1978)

GENERAL SECURITIES CORP. and Edward J. Lovellette, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

October 12, 1978.

Attorney(s) appearing for the Case

Ronald W. Meyer (argued), Phoenix, Ariz., for petitioners.

David Ferber (argued), Washington, D. C., for respondent.

Before MERRILL and CHOY, Circuit Judges, and TANNER, District Judge.

PER CURIAM:

Petitioner Lovellette is the registered principal and vice president of petitioner General Securities Corp., a broker-dealer registered with the Securities and Exchange Commission and a member of the National Association of Securities Dealers, Inc. ("NASD"), a national association of securities brokers and dealers. It is registered with the SEC under § 15A of the Securities Exchange Act, 15 U.S.C. § 78o-3, which provides for self-regulation...

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