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S. E. C. v. MICK STACK ASSOCIATES, INC.

Nos. 80-1248, 80-1249.

675 F.2d 1148 (1982)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. MICK STACK ASSOCIATES, INC., Richard Smith, Robert Adrian, and Kenneth Mick, Defendants-Appellants.

United States Court of Appeals, Tenth Circuit.

May 6, 1982.

Attorney(s) appearing for the Case

John F. McGee, Kidwell & Williamson, Chartered, Wichita, Kan. (Walter C. Williamson, Wichita, Kan., with him on the briefs), for defendants-appellants Mick Stack Associates, Inc., Richard Smith and Robert Adrian.

Ross D. Alexander, Wichita, Kan., for defendant-appellant Kenneth Mick.

Linda D. Fienberg, Washington, D. C., (Michael K. Wolensky, Associate Gen. Counsel, Bruce F. Rinaldi, Sp. Counsel, Philip H. Becker, Atty., and Paul Gonson, Sol., S.E.C., Washington, D. C., of counsel, with her on the briefs), for plaintiff-appellee.

Before HOLLOWAY, McKAY and LOGAN, Circuit Judges.

McKAY, Circuit Judge.

This is an appeal from a district court order granting the Securities and Exchange Commission's (SEC) motion for summary judgment and request for injunctive relief against Mick Stack Associates, Inc. (Mick Stack), a Wichita, Kansas, securities broker-dealer and its principals and employees Kenneth Mick, Richard E. Smith, and Robert Adrian. The district court found that these defendants had violated the provisions of section 10(b) of the Securities...

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