Legal Opinion
Geman v. Securities & Exchange Commission
Court of Appeals for the Tenth Circuit
Decided July 7, 2003No. 01-9512PublishedCited by 30 opinions
1Opinion of the Court
On Petition For Review Of A Final Decision Of Teh Securities And Exchange Commission (No. 3-9032)
HOLLOWAY, Circuit Judge.
I
A. Overview and Basis for Jurisdiction
Mr. Marc Geman brings a petition for review of a disciplinary order issued by the SEC. Mr. Geman was a registered broker-dealer and investment adviser; he was also the chief executive officer of a firm called Portfolio Management Consultants, Inc. (the firm). In proceedings before an administrative law judge (ALJ), Geman was found to have violated several provisions of the securities laws, as described infra. In an opinion reviewing…
2Cases cited13 opinions
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- Steadman v. Securities & Exchange CommissionSupreme Court of the United States · 1981
- Fed. Sec. L. Rep. P 92,021 Securities and Exchange Commission v. Larry D. Blavin, D/B/A Providence Investment AdvisoryCourt of Appeals for the Sixth Circuit · 1985
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3Cited by30 opinions
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- Malouf v. SEC. & Exch. Comm'nCourt of Appeals for the Tenth Circuit · 2019
- SFF-TIR, LLC v. StephensonDistrict Court, N.D. Oklahoma · 2017
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