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WACO FIN. v. NATIONAL ASS'N OF SEC. DEALERS

No. K81-73 CA4.

513 F.Supp. 758 (1981)

WACO FINANCIAL, INC. and J. Jerome Prevatte, Plaintiff, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. and Securities and Exchange Commission, Defendants.

United States District Court, W. D. Michigan, S. D.

April 24, 1981.

Attorney(s) appearing for the Case

Theodore H. Amshoff, Jr., Louisville, Ky., Robert D. Mollhagen, Kalamazoo, Mich., for plaintiff.

Andrew McR. Barnes, Washington, D. C., for NASD.

Michael K. Wolensky, Washington, D. C., Mary Weiss, Chicago, Ill., Robert C. Greene, U. S. Atty., Grand Rapids, Mich., for SEC.

OPINION

BENJAMIN F. GIBSON, District Judge.

This suit involves plaintiff WACO's status as a member of the National Association of Securities Dealers, Inc. (hereinafter `NASD') and that of its president, plaintiff J. Jerome Prevatte as a registered financial principal. It is presently before this Court pursuant to plaintiffs' motion for a preliminary injunction.

The relevant facts are simple. The timing of this suit is unique. Sometime in 1980, the...

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