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SECURITIES & EXCH. COM. v. BROADWALL SECURITIES, INC.

240 F.Supp. 962 (1965)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. BROADWALL SECURITIES, INC., Arnold Mahler, Jack Einiger, Alexander Lapidus, Stanley Miller, Defendants.

United States District Court S. D. New York.

March 2, 1965.

Attorney(s) appearing for the Case

Llewellyn P. Young, Regional Administrator, S. E. C., New York City, for plaintiff, Lawrence M. Levy, David Y. Handelman, New York City, of counsel.

Irwin L. Germaise, New York City, for defendants Broadwall Securities, Inc., Arnold Mahler, Jack Einiger and Alexander Lapidus.

Frisch & Goldfluss, New York City, for defendant Stanley Miller, Martin Mushkin, New York City, of counsel.

McLEAN, District Judge.

This is an action to enjoin alleged violations of Section 17(a) of the Securities Act of 1933 (15 U.S.C. § 77q(a)), and Section 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78j(b)), and Rule 10b-5 thereunder (17 CFR 240.10b-5). Plaintiff has moved for a preliminary injunction. The court held a hearing at which testimony was taken. Upon the basis of the evidence there introduced, and of statements in the moving affidavits not...

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