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SECURITIES & E. COM'N v. KELLY, ANDREWS & BRADLEY, INC.

No. 71 Civil 5469.

385 F.Supp. 948 (1974)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Securities Investor Protection Corporation, Applicant, v. KELLY, ANDREWS & BRADLEY, INC., et al., Defendants.

United States District Court, S. D. New York.

November 25, 1974.

Attorney(s) appearing for the Case

William D. Moran, Regional Administrator Securities and Exchange Comm., New York City, for plaintiff.

Nathan Leventon, New York City, for claimant Steiner, Rouse & Co., Inc.

Bressler, Meislin, Tauber & Lipsitz, New York City, for claimant Philips, Appel & Walden, Inc.; Steven H. Lipsitz, New York City, of counsel.

Vincenti & Schickler, New York City, for claimant Feis Securities Co.

Theodore H. Focht, Washington, D. C., for Securities Investor Protection Corp.; Wilfred R. Caron, Associate Gen. Counsel, Washington, D. C., Michael E. Don, Attorney, Washington, D. C., of counsel.

Casperini, Koch & Savage, New York City, for the trustee; Patrick W. McGinley, Stephen F. Downs, New York City, of counsel.

OPINION

EDWARD WEINFELD, District Judge.

Upon the commencement of this action by the Securities and Exchange Commission against Kelly, Andrews & Bradley, Inc. ("Kelly, Andrews"), a broker-dealer, and its officers and directors, charging them with violations of the anti-fraud and other provisions of the Securities Acts of 1933 and 1934, a Trustee was appointed to liquidate Kelly, Andrews to protect its customers, pursuant to the provisions of the Securities...

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