Legal Opinion
Cody v. Securities & Exchange Commission
Court of Appeals for the First Circuit
Decided September 7, 2012No. 11-2247PublishedCited by 8 opinions
1Opinion of the Court
BOUDIN, Circuit Judge.
Richard G. Cody seeks review in this court of an administrative determination, sustained by the Securities and Exchange Commission (“SEC”), that Cody mismanaged various brokerage accounts under his supervision. The original determination including sanctions was made by the Financial Industry Regulatory Authority (“FINRA”). A reasonably full description of the underlying events and evidence is required.
In 1996 Cody became a “registered representative” in the securities industry, that is, a person who has passed an examination administered by FINRA and obtained a license…
2Cases cited8 opinions
- Susan A. Desiderio v. National Association of Securities Dealers, Inc.Court of Appeals for the Second Circuit · 1999
- Fed. Sec. L. Rep. P 97,508 Samuel Mihara v. Dean Witter & Co., Inc. And George GracisCourt of Appeals for the Ninth Circuit · 1980
- Ivan D. JONES, Jr., Petitioner, v. SECURITIES & EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fourth Circuit · 1997
- A. J. WHITE & CO. and Allen J. White, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the First Circuit · 1977
- Kenneth Craig Krull v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 2001
3 more not listed; retrieve them via the Exa API.
3Cited by8 opinions
- National Credit Union Administration Board v. Nomura Home Equity Loan, Inc.Court of Appeals for the Tenth Circuit · 2014
- Flannery v. Securities & Exchange CommissionCourt of Appeals for the First Circuit · 2015
- National Credit Union Administration Board v. Nomura Home Equity Loan, Inc.Court of Appeals for the Tenth Circuit · 2013
- Steer Wealth Management, LLC v. DensonCourt of Appeals of Texas · 2017
- Dougherty v. VFG, LLCDistrict Court, E.D. Pennsylvania · 2015
3 more not listed; retrieve them via the Exa API.