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S. E. C. v. ESM GOVERNMENT SECURITIES, INC.

No. 79-2868.

645 F.2d 310 (1981)

In the Matter of an Application to Enforce Administrative Subpoena Duces Tecum of the SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. ESM GOVERNMENT SECURITIES, INC., Defendant-Appellant.

United States Court of Appeals, Fifth Circuit. Unit B.

May 18, 1981.

Attorney(s) appearing for the Case

Arky, Freed, Stearns, Watson & Greer, Bruce W. Greer, Gerald B. Cope, Jr., Miami, Fla., for defendant-appellant.

David A. Sirignano, Rosalind C. Cohen, Jacob H. Stillman, Frederick B. Wade, Securities & Exchange Comm., Washington, D. C., for plaintiff-appellee.

Before TUTTLE, VANCE and POLITZ, Circuit Judges.

VANCE, Circuit Judge:

The Securities and Exchange Commission (SEC) applied to the district court below to enforce an administrative subpoena duces tecum against ESM Government Securities, Inc. (ESM). ESM responded that the application should be denied because of alleged fraud and deceit by the SEC.1 The court ordered that the subpoena be enforced, and ESM appeals.

I.

The court below made no findings of fact. After hearing...

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