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SECURITIES & EXCH. COM'N v. MONARCH FUND

No. 1179, Docket 79-6048.

608 F.2d 938 (1979)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. MONARCH FUND, Aspen Fund II and Bruce B. Paul, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided October 23, 1979.

Attorney(s) appearing for the Case

Otto G. Obermaier, New York City (Martin L. Perschetz, of counsel, Washington, D. C.), for defendants-appellants.

David Ferber, Sol. to the Commission, Washington, D. C. (Rosalind C. Cohen, Sp. Counsel, Bruce Rinaldi, Atty., Securities and Exchange Commission, Washington, D. C., of counsel), for plaintiff-appellee.

Before VAN GRAAFEILAND and NEWMAN, Circuit Judges, and BONSAL, District Judge.

BONSAL, District Judge:

Defendants Monarch Fund ("Monarch"), Aspen Fund II ("Aspen"), both family investment partnerships, and Bruce B. Paul ("Paul"), manager of the partnerships, appeal from the decision of the District Court for the Southern District of New York holding that defendants violated Section 10(b) of the 1934 Securities Exchange Act ("1934 Act"), as amended, 15 U.S.C. § 78j(b), and Rule 10b-5 thereunder, 17 C.F.R. § 240.10b-5.

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