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S.E.C. v. LOWE

Nos. 106, 173, Dockets 83-6108, 83-6116.

725 F.2d 892 (1984)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellant-Cross-Appellee, v. Christopher L. LOWE et al., Defendants-Appellees-Cross-Appellants.

United States Court of Appeals, Second Circuit.

Decided January 18, 1984.

Attorney(s) appearing for the Case

Jacob H. Stillman, Associate Gen. Counsel, S.E.C., Washington, D.C. (Daniel L. Goelzer, Alan Rosenblat, David Sirignano, W. Robert Gray, Paul Gonson, Washington, D.C., of counsel), for plaintiff-appellant-cross-appellee.

Michael E. Schoeman, Schoeman, Marsh, Updike & Welt, New York City (Elizabeth H. Cooper, David A. Newberg, New York City, of counsel), for defendants-appellees-cross-appellants Lowe.

Before OAKES and VAN GRAAFEILAND, Circuit Judges, and BRIEANT, District Judge.

OAKES, Circuit Judge:

An investment adviser registered under the Investment Advisers Act of 1940 was convicted on three different occasions of serious misconduct in connection with his investment advisory business. Pursuant to the Act, the Securities and Exchange Commission revoked his registration because of his convictions. He has nevertheless continued to publish and sell newsletters containing investment advice, in violation of the Act's requirement of registration...

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