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S.E.C. v. SUTER

No. 83-1452.

732 F.2d 1294 (1984)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Richard W. SUTER and Richard W. Suter d/b/a National Investment Publishing Company, Defendants-Appellants.

United States Court of Appeals, Seventh Circuit.

Decided April 13, 1984.

As Amended August 2, 1984.

Attorney(s) appearing for the Case

Gordon James Arnett, Chicago, Ill., for defendants-appellants.

Larry R. Lavoie, S.E.C., Washington, D.C., for plaintiff-appellee.

Before CUMMINGS, Chief Judge, WOOD, Circuit Judge, and GRANT, Senior District Judge.

GRANT, Senior District Judge.

Defendant-Appellant, Suter, an investment adviser1 registered with the Plaintiff-Appellee, the Securities and Exchange Commission, appeals from the issuance of a preliminary injunction which enjoins him from engaging in fraud or deceit upon his clients or prospective clients and from selling unregistered securities. The injunction requires him to maintain proper records, to make an accounting regarding funds...

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