Legal Opinion
Aaron FINK, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Second Circuit
Decided October 27, 1969No. 33275_1PublishedCited by 12 opinions
1Opinion of the Court
MOORE, Circuit Judge.
Aaron Fink, petitioner, was employed as a registered representative for the broker-dealer firm of Richard Bruce & Company (Bruce & Co.) from June 1960 to November 1962. During the first part of 1962, Bruce & Co. served as managing underwriter for a Regulation A 1 issue of securities by Honig’s-Park-way, Inc. (Honig’s).
In a private proceeding brought by the Securities and Exchange Commission (the Commission) against Bruce & Co., the Hearing Examiner found that both before and after the effective date of an amended notification under Regu lation A, 2 Aaron Fink along with…
2Cases cited5 opinions
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1969
- Sidney Tager v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1965
- N. Sims Organ & Co., Inc., and N. Sims Oregan v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1961
- Edward Vanasco v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1968
3Cited by12 opinions
- Robert F. Haltmier v. Commodity Futures Trading CommissionCourt of Appeals for the Second Circuit · 1977
- ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1977
- Sokoloff v. SaxbeCourt of Appeals for the Second Circuit · 1974
- John S. Noell, M. D. v. Peter B. Bensinger, Administrator, Drug Enforcement AdministrationCourt of Appeals for the Fifth Circuit · 1978
- Stanley GROSS, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1969
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