Legal Opinion
A. J. WHITE & CO. and Allen J. White, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the First Circuit
Decided June 15, 1977No. 76-1420PublishedCited by 20 opinions
1Opinion of the Court
ALDRICH, Senior Circuit Judge.
This is a petition for review of an SEC order revoking the registration of A. J. White & Co. (White & Co.), a broker-dealer, and barring its president, Allen J. White (White), from association with any broker-dealer. The order provides that after one year White may apply for leave to become associated with a broker-dealer in a nonproprietary capacity under adequate supervision. 1 Petitioner White & Co. was found to have willfully violated the antifraud, extension of credit, and prospectus delivery provisions of the securities acts, and White to have willfully…
2Cases cited6 opinions
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Charles P. Lawrence v. Securities and Exchange CommissionCourt of Appeals for the First Circuit · 1968
- Armstrong, Jones & Co., and Thomas W. Itin v. Securities and Exchange CommissionCourt of Appeals for the Sixth Circuit · 1970
- Simon Junger v. Hertz, Neumark & WarnerCourt of Appeals for the Second Circuit · 1970
- Guaranty Underwriters, Inc. v. JohnsonCourt of Appeals for the Fifth Circuit · 1943
1 more not listed; retrieve them via the Exa API.
3Cited by20 opinions
- SHARP, Stanley L. v. COOPERS & LYBRAND, AppellantCourt of Appeals for the Third Circuit · 1981
- Banc One Capital Partners Corp. v. KneipperCourt of Appeals for the Fifth Circuit · 1995
- C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1988
- Securities & Exchange Commission v. First Pacific BancorpCourt of Appeals for the Ninth Circuit · 1998
- Securities & Exchange Commission v. Electronics Warehouse, Inc.District Court, D. Connecticut · 1988
15 more not listed; retrieve them via the Exa API.