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SECURITIES AND EXCHANGE COMMISSION v. SLOAN

No. 71 Civ. 2695.

369 F.Supp. 996 (1974)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. Samuel H. SLOAN and Samuel H. Sloan & Co., Defendants.

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

January 7, 1974.

Attorney(s) appearing for the Case

William D. Moran, New York City, for plaintiff; Jerome Mitchell Selvers, New York City, Thomas R. Beirne, Ossining, N. Y., and William Nortman, New York City, of counsel.

Samuel H. Sloan, pro se.

FINDINGS OF FACT AND CONCLUSIONS OF LAW

ROBERT J. WARD, District Judge.

On June 17, 1971, plaintiff Securities and Exchange Commission ("Commission") filed a complaint against defendants Samuel H. Sloan ("Sloan") and Samuel H. Sloan & Co. ("Sloan & Co.") seeking injunctive and other relief for alleged violations of Sections 15(b)(1), 15(c)(3) and 17(a) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. §§ 78o(b)(1...

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