Legal Opinion
Fed. Sec. L. Rep. P 92,455 Robert W. Nees v. Securities and Exchange Commission, William Reigel v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided July 9, 1969No. 22487, 22459PublishedCited by 28 opinions
1Opinion of the Court
BARNES, Circuit Judge:
These two cases, combined on appeal, challenge an order of the Securities and Exchange Commission barring both petitioners from association with any securities broker or dealer. Petitioners, who were salesmen for Century Securities Company, were found to have willfully violated, or to have aided and abetted the violation of, the anti-fraud provisions of § 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a) 1 and §§ 10(b) and 15(c) (1) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j (b) 2 and 78o(c) (1). 3
The securities whose sale triggered the action reviewed…
2Cases cited24 opinions
- Spevack v. KleinSupreme Court of the United States · 1967
- Federal Trade Commission v. Cement InstituteSupreme Court of the United States · 1948
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Trussell v. United Underwriters, Ltd.District Court, D. Colorado · 1964
- United States v. RiccardiCourt of Appeals for the Third Circuit · 1949
19 more not listed; retrieve them via the Exa API.
3Cited by28 opinions
- In Re Caesars Palace Securities LitigationDistrict Court, S.D. New York · 1973
- Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1969
- Grover v. United StatesUnited States Court of Claims · 1973
- United States v. Richard William LandofCourt of Appeals for the Ninth Circuit · 1979
- ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1977
23 more not listed; retrieve them via the Exa API.