Legal Opinion
Kenneth Craig Krull v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided April 26, 2001No. 99-70290PublishedCited by 20 opinions
1Opinion of the Court
McKEOWN, Circuit Judge:
The outcome of this appeal from a disciplinary action involving a registered securities representative rests in large part on the standard of review. The National Association of Securities Dealers found violations of its Rules of Fair Practice regarding unsuitable switches in mutual fund investments and imposed a disciplinary sanction on a registered securities representative. The Securities and Exchange Commission independently reviewed the record, upheld the finding of violations, and modified the sanction. After a multi-step review process, the scope of our review is…
2Cases cited11 opinions
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Austin Municipal Securities, Inc. v. National Association of Securities Dealers, Inc., DefendantsCourt of Appeals for the Fifth Circuit · 1985
- Fed. Sec. L. Rep. P 97,508 Samuel Mihara v. Dean Witter & Co., Inc. And George GracisCourt of Appeals for the Ninth Circuit · 1980
- Patricia A. Johnson v. Securities and Exchange CommissionCourt of Appeals for the D.C. Circuit · 1996
- Fed. Sec. L. Rep. P 99,517 Charles A. Tiernan v. Blyth, Eastman, Dillon & Co.Court of Appeals for the First Circuit · 1983
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3Cited by20 opinions
- United States v. James WellsCourt of Appeals for the Ninth Circuit · 2017
- Brotherston v. Putnam InvestmentsCourt of Appeals for the First Circuit · 2018
- Securities & Exchange Commission v. NicholasDistrict Court, C.D. California · 2008
- Jerome B. Vernazza v. Securities and Exchange Commission, Ims/cpas & Associates Vernon T. Hall Stanley E. Hargrave v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
- Paz Securities, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2007
15 more not listed; retrieve them via the Exa API.