Legal Opinion
Securities & Exchange Commission v. Vogel
District Court, S.D. New York
Decided December 11, 1969No. 69-Civ. 3270PublishedCited by 16 opinions
1Opinion of the Court
MEMORANDUM
CROAKE, District Judge.
This is an action in which plaintiff contends that defendants have been and are now engaged, and are about to engage, in acts and practices which constitute and will constitute violations of Sections 5(a) and 5(c) of the Securities Act of 1933, 15 U.S.C. §§ 77e(a) and 77e(c). Defendant L. A. Frances, Ltd. is a registered broker-dealer and employs defendant A. Frank Sidoti as a securities salesman and office manager. It is alleged in the complaint that these two defendants have offered to sell and have sold approximately 60,000 unregistered shares of common…
2Cases cited5 opinions
- Hensley Equipment Company, Inc. v. Esco CorporationCourt of Appeals for the Fifth Circuit · 1967
- Alopari v. O'LEARYDistrict Court, E.D. Pennsylvania · 1957
- Albert Levine Associates, Inc. v. KershnerDistrict Court, S.D. New York · 1968
- Kulakowich v. BorgestadDistrict Court, E.D. Pennsylvania · 1964
- Eisler v. StritzlerDistrict Court, D. Puerto Rico · 1968
3Cited by16 opinions
- John F. Meehan and Robert W. Fink A/K/A Meehan & Fink v. John Snow and Judy SnowCourt of Appeals for the Second Circuit · 1981
- Invst Financial Group, Inc. v. Chem-Nuclear Systems, Inc.Court of Appeals for the Sixth Circuit · 1987
- Williams v. WardCourt of Appeals for the Second Circuit · 1977
- Harold Affanato v. Merrill Brothers and Cianbro Corporation, Appeal of Cianbro CorporationCourt of Appeals for the First Circuit · 1977
- BDM, INC. v. Sageco, Inc.Hawaii Supreme Court · 1976
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