Legal Opinion
Saad v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided June 11, 2013No. 10-1195PublishedCited by 11 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 against John M.E. Saad by the Financial Industry Regulatory Authority, Inc. (“FINRA”), which is the successor to the National Association of Securities Dealers (“NASD”). From January 2000 to October 2006, Saad was a regional director in the Atlanta, Georgia, office of Penn Mutual Life Insurance Company (“Penn Mutual”). He was also registered with Penn Mutual’s broker-dealer affiliate, Hor-nor, Townsend & Kent, Inc. (“HTK”), which is a FINRA-member firm. In…
2Cases cited5 opinions
- Motor Vehicle Mfrs. Assn. of United States, Inc. v. State Farm Mut. Automobile Ins. Co.Supreme Court of the United States · 1983
- Allentown MacK Sales & Service, Inc. v. National Labor Relations BoardSupreme Court of the United States · 1998
- Siegel v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Paz Securities, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2009
- Paz Securities, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2007
3Cited by11 opinions
- SEC v. Guy GentileCourt of Appeals for the Third Circuit · 2019
- Raymond J. Lucia Companies, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2016
- Saad v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2017
- Jeffrey Mohlman v. Fin. Indus. Regulatory Auth.Court of Appeals for the Sixth Circuit · 2020
- ACAP Financial, Inc. v. United States Securities & Exchange CommissionCourt of Appeals for the Tenth Circuit · 2015
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