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SECURITIES AND EXCHANGE COM'N v. DIVERSIFIED BROKERS CO.

No. 69 C 57(2).

305 F.Supp. 950 (1969)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. DIVERSIFIED BROKERS COMPANY, Inc., a corporation, Donald P. Smallwood, Harold F. Conell and Roy E. Lay, Defendants.

United States District Court E. D. Missouri, E. D.

April 4, 1969.

Attorney(s) appearing for the Case

Daniel Bartlett, Jr., United States Atty., Jim J. Shoemake, Asst. United States Atty., St. Louis, Mo., Harry O. Moline, Jr., St. Louis, Mo., S.E.C. Atty., for Securities and Exchange Comm.

Wm. R. Gartenberg, St. Louis, Mo., for Diversified Brokers Co., Inc.

Harold L. Satz and Theodore D. Ponfil, St. Louis, Mo., and Daniel O'Brien, St. Louis, Mo., for Smallwood and Lay.

Hiram W. Watkins, St. Louis, Mo., for Conell.

MEMORANDUM

MEREDITH, District Judge.

This matter is presently before the Court on the petition of the receiver, filed March 26, 1969. The action was instituted on a complaint filed by the plaintiff, the Securities and Exchange Commission, alleging certain violations of the Securities Act of 1933, as amended, and seeking appropriate injunctive relief against defendant Diversified Brokers Company, Inc., and the individual defendants. The Commission, in the...

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