Legal Opinion
Sloan v. Securities & Exchange Commission
Court of Appeals for the Second Circuit
Decided November 18, 1976No. Nos. 36, 266, Dockets 75-4087, 76-4110PublishedCited by 1 opinion
1Opinion of the Court
ROBERT P. ANDERSON, Circuit Judge:
Case No. 75-4087
This is the appellant Samuel H. Sloan’s latest maneuver in his long struggle to avoid compliance with the Securities Exchange Act and disciplinary measures brought by the S.E.C.1 He is now seeking a review of the order of the Commission, dated April 28, 1975, revoking the broker-dealer registration of Samuel H. Sloan d/b/a Samuel H. Sloan & Co., and barring him from associating with any broker or dealer.
He argues, inter alia, that his constitutional rights were violated when the SEC refused to let him withdraw his broker-dealer registration as…
2Cases cited12 opinions
- Sosna v. IowaSupreme Court of the United States · 1975
- Southern Pacific Terminal Co. v. Interstate Commerce CommissionSupreme Court of the United States · 1911
- Leary v. United StatesSupreme Court of the United States · 1969
- Weinstein v. BradfordSupreme Court of the United States · 1975
- Marchetti v. United StatesSupreme Court of the United States · 1968
7 more not listed; retrieve them via the Exa API.