Legal Opinion
Mathis v. United States Securities & Exchange Commission
Court of Appeals for the Second Circuit
Decided February 14, 2012No. Docket 10-429-agPublishedCited by 7 opinions
1Opinion of the Court
LOHIER, Circuit Judge:
Petitioner Scott Mathis, a registered representative and principal with various brokerage firms over the years, seeks review of a December 7, 2009, final order of the Securities and Exchange Commission (the “SEC” or “Commission”), which concluded that Mathis willfully failed to disclose the existence of certain tax liens filed against him and thereby violated § 3(a)(39) and § 15(b)(4)(A) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. §§ 78c(a)(39) and 78o(b)(4)(A). The SEC’s conclusion that Mathis acted willfully, which followed Mathis’s appeal of…
2Cases cited13 opinions
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Spies v. United StatesSupreme Court of the United States · 1943
- Cheek v. United StatesSupreme Court of the United States · 1991
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- Sorenson v. Secretary of the TreasurySupreme Court of the United States · 1986
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3Cited by7 opinions
- Planned Parenthood of N.Y.C., Inc. v. U.S. Dep't of Health & Human Servs.District Court, S.D. Illinois · 2018
- Gonnella v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2020
- Bernard G. McGee v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2018
- Graham v. S.E.C.Court of Appeals for the Second Circuit · 2019
- NORTH CAROLINA A. PHILIP RANDOLPH INSTITUTE v. THE NORTH CAROLINA STATE BOARD OF ELECTIONSDistrict Court, M.D. North Carolina · 2022
2 more not listed; retrieve them via the Exa API.