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U.S. S.E.C. v. FIRST JERSEY SECURITIES, INC.

No. 866, Docket 88-6012.

843 F.2d 74 (1988)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. FIRST JERSEY SECURITIES, INC., and Robert Brennan, Defendants, Havard Lee, Intervenor-Appellant.

United States Court of Appeals, Second Circuit.

Decided March 24, 1988.

Attorney(s) appearing for the Case

Edward M. Spiro, New York City (Peter J. Driscoll, Nora E. Plesent, Kostelanetz Ritholz Tigue & Fink, New York City, of counsel), for intervenor-appellant.

Rosalind C. Cohen, Asst. Gen. Counsel, S.E.C., Washington, D.C. (Daniel L. Goelzer, Gen. Counsel, Jacob H. Stillman, Asst. Gen. Counsel, Daniel F. Wake, Paul Gonson, of counsel), for plaintiff-appellee.

Before FEINBERG, Chief Judge, PRATT, Circuit Judge, and DORSEY, United States District Judge for the District of Connecticut, sitting by designation.

GEORGE C. PRATT, Circuit Judge:

In what has become a recurring problem in this circuit, we are faced on this appeal with the issue of when an individual, acting in his capacity as an agent of a corporation, may claim a fifth amendment privilege against producing corporate documents pursuant to court order. Here, intervenor-appellant Havard Lee challenges an order of the district court holding him in contempt for refusing to produce certain corporate documents alleged...

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