Legal Opinion
Fed. Sec. L. Rep. P 96,273 Securities and Exchange Commission v. C. R. Richmond & Co., and Curtis R. Richmond
Court of Appeals for the Ninth Circuit
Decided December 7, 1977No. 75-2384PublishedCited by 17 opinions
1Opinion of the Court
LINDBERG, District Judge:
Appellant C. R. Richmond and Company is registered as an investment adviser with the Security and Exchange Commission. The District Court, sitting without a jury, enjoined him from publishing a book which explains his services, describes a method of investment and its success rate, and implies that great profits will result. The District Court found this activity in violation of § 206 of the Investment Advisers Act of 1940, 15 U.S.C. § 80b — 6, and Rule 206(4)-l, 17 C.F.R. 275.206(4)-l, promulgated thereunder. 1
I
The original complaint against appellants contained…
2Cases cited3 opinions
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Marketlines, Inc. v. The Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1967
- Athalie Irvine Smith v. The James Irvine Foundation, a CorporationCourt of Appeals for the Ninth Circuit · 1968
3Cited by17 opinions
- Fed. Sec. L. Rep. P 92,021 Securities and Exchange Commission v. Larry D. Blavin, D/B/A Providence Investment AdvisoryCourt of Appeals for the Sixth Circuit · 1985
- Picard Chemical Inc. Profit Sharing Plan v. Perrigo Co.District Court, W.D. Michigan · 1996
- Russell Ponce v. Securities & Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
- Keimer v. Buena Vista Books, Inc.California Court of Appeal · 1999
- Securities & Exchange Commission v. Global Express Capital Real Estate Investment Fund, I, LLCCourt of Appeals for the Ninth Circuit · 2008
12 more not listed; retrieve them via the Exa API.