Legal Opinion
Falcon Trading Group, Ltd. And Glen T. Vittor v. Securities and Exchange Commission
Court of Appeals for the D.C. Circuit
Decided December 20, 1996No. 96-1052PublishedCited by 8 opinions
1Opinion of the Court
Opinion for the court filed by Circuit Judge HENDERSON.
KAREN LeCRAFT HENDERSON, Circuit Judge:
The petitioners challenge a decision of the Securities and Exchange Commission (SEC or Commission) imposing sanctions on them for violating the Rules of Fair Practice (Rules) of the National Association of Securities Dealers (NASD). Both petitioners contend that (1) they were deprived of their right to counsel because their lawyers were not afforded sufficient time to prepare for their NASD hearing and (2) the SEC’s decision was unlawfully issued by less than a quorum of the Commission. We hold that…
2Cases cited8 opinions
- Morris v. SlappySupreme Court of the United States · 1983
- Federal Trade Commission v. Flotill Products, Inc.Supreme Court of the United States · 1967
- Lee v. Board of EducationSupreme Court of Connecticut · 1980
- Michael J. MARKOWSKI, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1994
- Gearhart & Otis, Inc., Frederick D. Gearhart, Jr. And Edward v. Otis v. Securities and Exchange Commission and United States of AmericaCourt of Appeals for the D.C. Circuit · 1965
3 more not listed; retrieve them via the Exa API.
3Cited by8 opinions
- Laurel Baye Healthcare of Lake Lanier, Inc. v. National Labor Relations BoardCourt of Appeals for the D.C. Circuit · 2009
- New Process Steel v. National Labor Relations BoardCourt of Appeals for the Seventh Circuit · 2009
- Northeastern Land Services, Ltd. v. National Labor Relations BoardCourt of Appeals for the First Circuit · 2009
- United States Securities and Exchange Commission v. Glen T. VittorCourt of Appeals for the Eleventh Circuit · 2003
- Fed. Trade Comm'n v. Quincy Bioscience Holding Co.District Court, S.D. Illinois · 2019
3 more not listed; retrieve them via the Exa API.