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S. E. C. v. PROVIDENT SECURITIES, INC.

No. 73 Civ. 340.

452 F.Supp. 477 (1978)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, Securities Investor Protection Corporation, Applicant, v. PROVIDENT SECURITIES, INC., Defendant. Harvey R. MILLER, as Trustee for the liquidation of Provident Securities, Inc., and Securities Investor Protection Corporation, Appellants, v. Eve KOMONS and Michael Komons, Appellees.

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

June 12, 1978.

Attorney(s) appearing for the Case

Weil, Gotshal & Manages, New York City, for Trustee Harvey R. Miller, by William J. Rochelle III, Judith Garson, Philip H. Kalban, New York City, of counsel.

Ballon, Stoll & Itzler, New York City, for Komons Claim, by Morton S. Robson, New York City, of counsel.

Theodore H. Focht, General Counsel, Washington, D. C., for Securities Investor Protection Corp.; Wilfred R. Caron, William H. Seckinger and Kevin H. Bell, of counsel.

OPINION

WHITMAN KNAPP, District Judge.

This is an appeal from an order of Bankruptcy Judge Ryan denying a motion by the Trustee for the liquidation of Provident Securities, Inc., a brokerage firm, for summary judgment expunging the claims of Michael and Eve Komons. Their claims, if granted, would entitle them to recover out of a special fund established pursuant to the Securities Investors' Protection Act of 1970, ("S.I.P.A."), which fund is made up of assessments...

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