Legal Opinion
Siegel v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided January 12, 2010No. 08-1379PublishedCited by 28 opinions
1Opinion of the Court
Opinion for the Court filed by Senior Circuit Judge EDWARDS.
EDWARDS, Senior Circuit Judge:
This case involves a disciplinary action brought by the National Association of Securities Dealers (“NASD”) * **§against Mi chael Frederick Siegel (“Siegel”). From October 1997 to June 1999, Siegel worked as a registered, general securities representative with Rauscher Pierce Refsnes, Inc. (“Rauscher”), a NASD member firm. In 2002, NASD’s Department of Enforcement filed a complaint with NASD’s Office of Hearing Officers (“OHO”) charging that, during his tenure with Rauscher, Siegel violated NASD Conduct…
2Cases cited18 opinions
- Universal Camera Corp. v. National Labor Relations BoardSupreme Court of the United States · 1951
- Holmes v. Securities Investor Protection CorporationSupreme Court of the United States · 1992
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Allentown MacK Sales & Service, Inc. v. National Labor Relations BoardSupreme Court of the United States · 1998
- In Re Sanford Fork & Tool Co.Supreme Court of the United States · 1895
13 more not listed; retrieve them via the Exa API.
3Cited by28 opinions
- Kenneth Fox v. Hillary ClintonCourt of Appeals for the D.C. Circuit · 2012
- Fogo De Chao (Holdings) Inc. v. United States Department of Homeland SecurityCourt of Appeals for the D.C. Circuit · 2014
- Grace v. WhitakerCourt of Appeals for the D.C. Circuit · 2018
- Bean Dredging, LLC v. United StatesDistrict Court, District of Columbia · 2011
- Lewis v. UBS Financial Services Inc.District Court, N.D. California · 2011
23 more not listed; retrieve them via the Exa API.