Legal Opinion
Securities & Exchange Commission v. Wall Street Transcript Corp.
District Court, S.D. New York
Decided May 15, 1978No. 72 Civ. 4664PublishedCited by 5 opinions
1Opinion of the Court
OPINION
GAGLIARDI, District Judge.
Plaintiff Securities and Exchange Commission (“SEC”) has commenced this action against defendants Wall Street Transcript Corporation (“WSTC”) and Richard A. Holman pursuant to § 209(e) of the Investment Advisers Act of 1940 (“Investment Advisers Act” or the “Act”), 15 U.S.C. § 80b-9(e). Jurisdiction lies under § 214 of the Act, 15 U.S.C. § 80b-14. The SEC charges these defendants with the violation of § 203(a) of the Act, 15 U.S.C. § 80b-3(a), which makes it unlawful for any “investment adviser” to use any instrumentality of interstate commerce in connection…
2Cases cited12 opinions
- Ashwander v. Tennessee Valley AuthoritySupreme Court of the United States · 1936
- United States v. PowellSupreme Court of the United States · 1964
- Oklahoma Press Publishing Co. v. WallingSupreme Court of the United States · 1946
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Endicott Johnson Corp. v. PerkinsSupreme Court of the United States · 1943
7 more not listed; retrieve them via the Exa API.
3Cited by5 opinions
- Brin v. StutzmanCourt of Appeals of Washington · 1998
- Securities & Exchange Commission v. Wall Street Publishing Institute, Inc.District Court, District of Columbia · 1984
- Securities & Exchange Commission v. Nutmeg Group, LLCDistrict Court, N.D. Illinois · 2016
- Fed. Sec. L. Rep. P 97,920 Leo M. Zinn, and Counter-Defendant v. Lemar Parrish, and Counter-PlaintiffCourt of Appeals for the Seventh Circuit · 1981
- United States Securities & Exchange Commission v. BattooDistrict Court, N.D. Illinois · 2016