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SECURITIES AND EXCHANGE COMMISSION v. ALDRED INVESTMENT TRUST

224 F.Supp. 626 (1963)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. ALDRED INVESTMENT TRUST, Richard L. Rosenthal and Birnbaum & Co., Defendants.

United States District Court S. D. New York.

December 24, 1963.

Attorney(s) appearing for the Case

Llewellyn P. Young, Regional Adm'r, Warren E. Blair, Asst. Regional Adm'r, William Lerner, Asst. Chief Enforcement Atty., S. E. C., New York City, Philip A. Loomis, Jr., Gen. Counsel, John A. Dudley, Sp. Counsel, Michael Joseph, Atty., S. E. C., Washington, D. C., for plaintiff.

Gallop, Climenko & Gould, New York City, for defendants, Aldred Investment Trust and Richard L. Rosenthal; Milton S. Gould, New York City, of counsel.

Christy, Perkins & Christy, New York City, for defendant Birnbaum & Co.

WEINFELD, District Judge.

The reasons which underlay the so-called unconditional exemption order issued in 1950 have no bearing on the issues presented with respect to defendants' alleged acts or conduct subsequent thereto and which are the subject of the complaint in this action filed in 1961. Whether the 1950 exemption order was issued upon facts or recommendations contained in the memoranda or due to effective advocacy by Aldred's counsel, or even the result of...

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