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SECURITIES AND EXCHANGE COM'N v. GUILD FILMS CO.

178 F.Supp. 418 (1959)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. GUILD FILMS COMPANY, Inc., Santa Monica Bank, Southwest Bank of Inglewood, and Hal Roach, Jr., Defendants.

United States District Court S. D. New York.

November 13, 1959.

Attorney(s) appearing for the Case

Paul Windels, Jr., Regional Administrator, Securities and Exchange Commission, New York City, for plaintiff (John J. Devaney, Jr., William D. Moran and Arthur Goldman, New York City, of counsel).

Jacob Rapoport, New York City, for defendant Santa Monica Bank.

Joel Arnold, New York City, for defendant Southwest Bank of Inglewood.

Robert Kirtland, New York City, for defendant Hal Roach, Jr.

SYLVESTER J. RYAN, Chief Judge.

The Commission seeks to enjoin the defendants from selling and delivering, after sale, shares of the common stock of Guild Films Company, Inc., in violation of Section 5(a) of the Securities Act of 1933, 15 U.S.C.A. § 77e(a).

These shares of stock had been delivered in February, 1959, to the Santa Monica Bank by defendant Roach as purported collateral on a note in default and the sale was made by the Santa Monica Bank in...

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