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S.E.C. v. STEADMAN

Nos. 91-5090, 91-5130.

967 F.2d 636 (1992)

SECURITIES AND EXCHANGE COMMISSION v. Charles W. STEADMAN, et al., Appellants (Two Cases).

United States Court of Appeals, District of Columbia Circuit.

Decided June 26, 1992.

Attorney(s) appearing for the Case

Peter J. Nickles, with whom William H. Allen, Coleman S. Hicks, and Elliott Schulder, Washington, D.C., were on the brief, for appellants in 91-5090 and 91-5130.

Martha H. McNeely, Sp. Counsel, S.E.C., with whom James R. Doty, General Counsel, Jacob H. Stillman, Associate Gen. Counsel, and Paul Gonson, Sol., Washington, D.C., were on the brief, for appellee in 91-5090 and 91-5130.

Before: EDWARDS, SILBERMAN, and HENDERSON, Circuit Judges.

Opinion for the Court filed by Circuit Judge SILBERMAN.

SILBERMAN, Circuit Judge:

This is an appeal from the district court's grant of an injunction against appellants for violation of the securities laws. The Securities and Exchange Commission (SEC) brought the action essentially because the Steadman Funds did not register under state Blue Sky laws for 17 years. The SEC claimed that appellants were obliged to disclose to investors that the Funds' non-registration...

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