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NEUWIRTH INV. FUND, LTD. v. SWANTON

No. 72 Civ. 268.

422 F.Supp. 1187 (1975)

NEUWIRTH INVESTMENT FUND, LTD., and Neuwirth International Fund, N. V., Plaintiffs, v. Norman F. SWANTON, as Liquidator for Dempsey-Tegeler & Co., Inc., et al., Defendants.

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

November 17, 1975.

Attorney(s) appearing for the Case

Lipper, Lowey & Dannenberg by Stephen Lowey, Richard B. Dannenberg, New York City, for plaintiffs.

Weil, Gotshal & Manges by Michael D. Hess, Dennis J. Block, Neal Schwarzfeld, New York City, for defendants Swanton and Dempsey-Tegeler.

Milbank, Tweed, Hadley & McCloy by Russell E. Brooks, Martha G. Bannerman, New York City, for defendant New York Stock Exchange, Inc.

MOTLEY, District Judge.

OPINION ON MOTION FOR SUMMARY JUDGMENT

Plaintiffs, two foreign investment companies, commenced this action on January 20, 1972, seeking rescission relief under Section 12(1) of the Securities Act of 1933 (15 U.S.C. § 77l(1)) ("Securities Act"). Their claim is that stock sold to them by defendants was not registered pursuant to Section 5 of the Securities Act (15 U.S.C. § 77e), and that, accordingly, they are...

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