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UNITED STATES v. NAFTALIN

No. 78-561.

441 U.S. 768 (1979)

99 S.Ct. 2077

60 L.Ed.2d 624

UNITED STATES v. NAFTALIN.

Supreme Court of United States.

Decided May 21, 1979.

Attorney(s) appearing for the Case

Stephen M. Shapiro argued the cause for the United States. With him on the briefs were Solicitor General McCree, Assistant Attorney General Heymann, Robert J. Erickson, and David Ferber.

Joe A. Walters argued the cause and filed a brief for respondent.

MR. JUSTICE BRENNAN delivered the opinion of the Court.

The question presented in this case is whether § 17 (a) (1) of the Securities Act of 1933, 48 Stat. 84, as amended, 68 Stat. 686, 15 U. S. C. § 77q (a) (1), prohibits frauds against brokers as well as investors. We hold that it does.

Respondent, Neil Naftalin, was the president of a registered broker-dealer firm and a professional investor. Between July and August 1969, Naftalin engaged in a...

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