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S. E. C. v. WALL ST. TRANSCRIPT CORP.

No. 72 Civ. 4664.

454 F.Supp. 559 (1978)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. WALL STREET TRANSCRIPT CORPORATION and Richard A. Holman, Defendants.

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

May 15, 1978.

Attorney(s) appearing for the Case

Securities and Exchange Commission, Div. of Enforcement, Washington, D. C., for plaintiff; Richard L. Jaeger, Cleveland, Ohio, Wesley A. Gersh, Louisville, Ky., of counsel.

Eaton, Van Winkle & Greenspoon, New York City, for defendants; Samuel N. Greenspoon, New York City, of counsel.

OPINION

GAGLIARDI, District Judge.

Plaintiff Securities and Exchange Commission ("SEC") has commenced this action against defendants Wall Street Transcript Corporation ("WSTC") and Richard A. Holman pursuant to § 209(e) of the Investment Advisers Act of 1940 ("Investment Advisers Act" or the "Act"), 15 U.S.C. § 80b-9(e). Jurisdiction lies under § 214 of the Act, 15 U.S.C. § 80b-14. The SEC...

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