Legal Opinion
Fed. Sec. L. Rep. P 94,464 Securities and Exchange Commission v. William v. Coffey, and John M. King
Court of Appeals for the Sixth Circuit
Decided March 28, 1974No. 73-1396, 73-1397PublishedCited by 169 opinions
1Opinion of the Court
CELEBREZZE, Circuit Judge.
This case presents novel issues for this Circuit regarding the Securities and Exchange Commission’s ability to enjoin corporate officials personally for alleged corporate violations of the federal securities laws, specifically, § 17(a)(1) and (3) of the 1933 Securities Act and § 10(b) of the 1934 Securities Exchange Act, and Rule 10b-5(l) and (3) promulgated thereunder. Appellants are the board chairman (John King) and the financial vice-president (William Coffey) of King Resources Company. 1
The relevant events began when Crofters, Inc., an Ohio “money-finder” formed…
2Cases cited33 opinions
- Nye & Nissen v. United StatesSupreme Court of the United States · 1949
- Securities & Exchange Commission v. Capital Gains Research Bureau, Inc.Supreme Court of the United States · 1963
- Fed. Sec. L. Rep. P 93,959 Frank Lanza, Jr. v. Drexel & Co., Theodore J. Kircher and Christie F. VitoloCourt of Appeals for the Second Circuit · 1973
- Myzel v. FieldsCourt of Appeals for the Eighth Circuit · 1967
- Perry O. Hooper, as Trustee in Bankruptcy of Consolidated American Industries, Inc. v. Mountain States Securities CorporationCourt of Appeals for the Fifth Circuit · 1960
28 more not listed; retrieve them via the Exa API.
3Cited by169 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Fed. Sec. L. Rep. P 98,697 John P. Decker v. Massey-Ferguson, LimitedCourt of Appeals for the Second Circuit · 1982
- Rolf v. Blyth, Eastman Dillon & Co.Court of Appeals for the Second Circuit · 1978
- Fed. Sec. L. Rep. P 95,351 Billie Jean Woodward v. Metro Bank of DallasCourt of Appeals for the Fifth Circuit · 1975
- Barry Belmont v. MB Investment Partners, Inc.Court of Appeals for the Third Circuit · 2013
164 more not listed; retrieve them via the Exa API.