Legal Opinion
Securities & Exchange Commission v. Pinchas
District Court, S.D. New York
Decided March 27, 2006No. 04 Civ. 10139(RJH)PublishedCited by 9 opinions
1Opinion of the Court
MEMORANDUM OPINION AND ORDER
HOLWELL, District Judge.
Plaintiff Securities and Exchange Commission (“SEC” and “Commission”) applies to this Court under Section 21(e) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. 78u(e)(l) (2000), for an order commanding defendant Rafael Pinchas’s compliance with a final SEC order entered against him on December 21, 1999. The order sustained a fine imposed by the National Association of Securities Dealers (“NASD”) for Pinchas’s violations of NASD rules. Despite the summary nature of these proceedings, Defendant has asserted counterclaims…
2Cases cited10 opinions
- Parklane Hosiery Co. v. ShoreSupreme Court of the United States · 1979
- Securities and Exchange Commission v. Kevin Michael McCarthy Thomas William BlodgettCourt of Appeals for the Ninth Circuit · 2003
- Securities & Exchange Commission v. Electronics Warehouse, Inc.District Court, D. Connecticut · 1988
- Lang v. FrenchCourt of Appeals for the Fifth Circuit · 1998
- Securities & Exchange Commission v. McCaskeyDistrict Court, S.D. New York · 1999
5 more not listed; retrieve them via the Exa API.
3Cited by9 opinions
- Securities & Exchange Commission v. MohnCourt of Appeals for the Sixth Circuit · 2006
- Securities & Exchange Commission v. Caledonian Bank Ltd.District Court, S.D. New York · 2016
- Securities & Exchange Commission v. GerasimowiczDistrict Court, S.D. New York · 2014
- Securities & Exchange Commission v. Sky Way Global, LLCDistrict Court, M.D. Florida · 2010
- United States v. Worldwide Industrial Enterprises, Inc.District Court, E.D. New York · 2016
4 more not listed; retrieve them via the Exa API.