Legal Opinion
Stephen Investment Securities, Inc. v. Securities and Exchange Commission
Court of Appeals for the Eighth Circuit
Decided June 20, 1994No. 93-3426PublishedCited by 15 opinions
1Opinion of the Court
MAGILL, Circuit Judge.
Stephen Investment Securities, Inc. (Stephen, Inc.) appeals the Securities and Exchange Commission’s (SEC) order affirming a disciplinary action taken against Stephen, Inc. by the National Association of Securities Dealers, Inc. (NASD). Because substantial evidence in the record supports the SEC’s order and the SEC’s order does not violate the bankruptcy court’s automatic stay, we affirm.
I. BACKGROUND
In July 1986, an NASD arbitration panel held, among other determinations, that O.R. Securities, Inc. (ORS) was liable to Professional Planning Associates, Inc. (PPA) for a…
2Cases cited5 opinions
- A.H. Robins Co. v. PiccininCourt of Appeals for the Fourth Circuit · 1986
- O.R. Securities, Inc. v. Professional Planning Associates, Inc.Court of Appeals for the Eleventh Circuit · 1988
- North Star Contracting Corp. v. McSpedon (In Re North Star Contracting Corp.)District Court, S.D. New York · 1991
- Bennie Edwards and Joann Edwards v. Armstrong World Industries, Inc., the Celotex CorporationCourt of Appeals for the Fifth Circuit · 1993
- LOWELL H. LISTROM & COMPANY, INC., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Eighth Circuit · 1986
3Cited by15 opinions
- National Bank of Arkansas v. Panther Mountain Land Devel.Court of Appeals for the Eighth Circuit · 2012
- Ng v. Adler (In re Adler)United States Bankruptcy Court, E.D. New York · 2013
- C.H. Robinson Co. v. Paris & Sons, Inc.District Court, N.D. Iowa · 2001
- Catholic Order of Foresters v. U.S. Bancorp Piper Jaffray, Inc.District Court, N.D. Iowa · 2004
- Christopher A. Lowry v. Securities and Exchange CommissionCourt of Appeals for the Eighth Circuit · 2003
10 more not listed; retrieve them via the Exa API.