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S. E. C. v. BLACKFOOT BITUMINOUS, INC.

Nos. 79-1130, 79-1131.

622 F.2d 512 (1980)

SECURITIES AND EXCHANGE COMMISSION, Applicant-Appellee, v. BLACKFOOT BITUMINOUS, INC. and Colfax National Bank, Respondents, Stanley Drizin, William A. Kilpatrick, John Jewell, Myron Bjerkaas, Frances Graham, Declan J. O'Donnell and Richard Peterman, Respondents-Appellants. SECURITIES AND EXCHANGE COMMISSION, Applicant-Appellee, v. P & J COAL COMPANY, INC. and John H. Pettingill, Respondents-Appellants. BLACKFOOT BITUMINOUS, INC., and P & J Coal Company, Inc., Plaintiffs-Appellants, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Defendant-Appellee.

United States Court of Appeals, Tenth Circuit.

Decided June 9, 1980.

Attorney(s) appearing for the Case

Robert C. Ripple of O'Donnell, Beville & Ripple, Denver, Colo., for respondents-appellants.

Michael K. Wolensky, Asst. Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Jacob H. Stillman, Associate Gen. Counsel and Jonathan Eisenberg, Atty., Securities and Exchange Commission, Washington, D. C., on the brief). for applicant-appellee.

Before McWILLIAMS, BREITENSTEIN and LOGAN, Circuit Judges.

LOGAN, Circuit Judge.

These are appeals from district court orders enforcing two Securities and Exchange Commission (SEC) subpoenas and dismissing an action for declaratory relief. Appellants contend the subpoenas are invalid and enforcement should have been denied for various reasons. Those we believe warranting discussion are the contentions that (1) the SEC is required by 17 C.F.R. § 202.5(a) to establish on the record a "likelihood of violation," which it...

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