Legal Opinion
Securities and Exchange Commission v. Dain Rauscher, Inc. Kenneth D. Ough and Virginia O. Horler
Court of Appeals for the Ninth Circuit
Decided June 26, 2001No. 99-56828PublishedCited by 66 opinions
1Opinion of the Court
DAVID R. THOMPSON, Circuit Judge:
The Securities and Exchange Commission (SEC) sought a permanent injunction and civil penalties against Kenneth D. Ough for alleged violations of Section 17(a) of the Securities Act, 15 U.S.C. § 77q(a) (1994), amended by Pub.L. 106-554 § 302(b), 114 Stat. 2763, 2763A-452 (Dec. 21, 2000); Section 10(b) of the Exchange Act, 15 U.S.C. § 78j(b) (1994), amended by Pub.L. 106-554 §' 303(d), 114 Stat. 2763, 2763A-454 (Dec. 21, 2000), and Rule 10b-5 thereunder, 17 C.F.R. 240.10b-5 (2000); and for violations of Section 15B(c)(l) of the Exchange Act, 15 U.S.C. §…
2Cases cited9 opinions
- Aaron v. Securities & Exchange CommissionSupreme Court of the United States · 1980
- Fed. Sec. L. Rep. P 95,887 Sundstrand Corporation v. Sun Chemical CorporationCourt of Appeals for the Seventh Circuit · 1977
- Kay Hollinger Richard Llewelyn Jones Edward E. Nissen Judy D'Arcy K-Judy, Ltd. v. Titan Capital Corp. Emil Wilkowski Painter Financial Group, Ltd.Court of Appeals for the Ninth Circuit · 1990
- Fed. Sec. L. Rep. P 96,030 Henry T. Sanders v. John Nuveen & Co., Inc.Court of Appeals for the Seventh Circuit · 1977
- Irene Flick v. Liberty Mutual Fire Insurance CompanyCourt of Appeals for the Ninth Circuit · 2000
4 more not listed; retrieve them via the Exa API.
3Cited by66 opinions
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2010
- SEC v. PhanCourt of Appeals for the Ninth Circuit · 2007
- Federal Housing Finance Agency v. Nomura Holding America, Inc.Court of Appeals for the Second Circuit · 2017
- In Re Enron Corp. Securities, Derivative & ERISA Lit.District Court, S.D. Texas · 2002
- Securities and Exchange Commission v. Paul S. Rubera, Securities and Exchange Commission v. Paul S. RuberaCourt of Appeals for the Ninth Circuit · 2003
61 more not listed; retrieve them via the Exa API.