Legal Opinion
Daniel R. LEHL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Tenth Circuit
Decided July 19, 1996No. 94-9551PublishedCited by 3 opinions
1Opinion of the Court
ANDERSON, Circuit Judge.
Daniel R. Lehl petitions for review of a final order by the Securities and Exchange Commission (“SEC”) sustaining disciplinary action taken against him by a registered securities association, the National Association of Securities Dealers, Inc. (“NASD”). Based on our review of the record, we affirm the SEC’s order.
In 1990, Lehl was a securities salesman associated with First Choice Securities in Denver. First Choice was a registered member of the NASD and Lehl was a registered representative. Between July 17 and August 3, 1990, Lehl sold 285,000 shares of stock in…
2Cases cited13 opinions
- Universal Camera Corp. v. National Labor Relations BoardSupreme Court of the United States · 1951
- Steadman v. Securities & Exchange CommissionSupreme Court of the United States · 1981
- Jan Kapcia v. Immigration & Naturalization Service, Stanislaw Saulo v. Immigration & Naturalization ServiceCourt of Appeals for the Tenth Circuit · 1991
- Charles Hughes & Co. v. Securities & Exchange CommissionCourt of Appeals for the Second Circuit · 1943
- Archer v. Securities and Exchange CommissionCourt of Appeals for the Eighth Circuit · 1943
8 more not listed; retrieve them via the Exa API.
3Cited by3 opinions
- Michael A. Rooms v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 2006
- Securities & Exchange Commission v. Rauscher Pierce Refsnes, Inc.District Court, D. Arizona · 1998
- Rooms v. Securities & ExchangCourt of Appeals for the Tenth Circuit · 2006