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SEC. INVESTOR PROT. CORP. v. EXECUTIVE SEC. CORP.

No. 75 Civ. 733 (CHT).

423 F.Supp. 94 (1976)

SECURITIES INVESTOR PROTECTION CORPORATION, Applicant, v. EXECUTIVE SECURITIES CORPORATION, Defendant. SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. EXECUTIVE SECURITIES CORPORATION et al., Defendants.

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

November 29, 1976.

Attorney(s) appearing for the Case

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

Leboeuf, Lamb, Leiby & Macrae, New York City, for Trustee; Grant S. Lewis, Kimba Wood Lovejoy, New York City, of counsel.

Wiggin & Dana, New Haven, Conn., for claimant-appellant Yale University; John W. Barnett, J. Drake Turrentine, New Haven, of counsel.

Willkie, Farr & Gallagher, New York City, for claimant-appellant Shearson Hayden Stone, Inc.; Thomas C. O'Keefe, New York City, of counsel.

MEMORANDUM

TENNEY, District Judge.

This is an appeal from the order of the Honorable John J. Galgay, Bankruptcy Judge, dated February 23 and filed February 24, 1976, jurisdiction in this Court being based on Section 39c of the Bankruptcy Act, 11 U.S.C. § 67(c) and Part VIII of the Bankruptcy Rules. The issue presented is whether Shearson Hayden Stone, Inc. and Yale University (referred to collectively herein as "claimants") are "customers" of Executive...

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