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DECKER v. SECURITIES & EXCH. COM'N

No. 78-2008.

631 F.2d 1380 (1980)

John P. DECKER, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

Decided August 18, 1980.

Attorney(s) appearing for the Case

James T. Bunch, Denver, Colo. (Lester R. Woodward, Denver, Colo., with him on brief) of Davis, Graham & Stubbs, Denver, Colo., for petitioner.

Jacob H. Stillman, Washington, D. C. (William A. Dietch and S. Lee Terry, Jr., Washington, D. C., with him on brief), for respondent.

Before McKAY and SEYMOUR, Circuit Judges, and PECK, Senior Circuit Judge.

McKAY, Circuit Judge.

Petitioner appeals from an order of the Securities and Exchange Commission censuring him for aiding and abetting a violation of § 17(e)(1) of the Investment Company Act of 1940, 15 U.S.C. § 80a-17(e)(1).

The Forum Corporation (Forum) was a registered investment advisory firm. Forum Investment Counselors, Inc. (FIC), was a wholly owned subsidiary of Forum. In August 1972, when petitioner became affiliated with Forum, Forum was...

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