Legal Opinion
Securities & Exchange Commission v. First Securities Co. of Chicago
Court of Appeals for the Seventh Circuit
Decided April 12, 1972No. 71-1272PublishedCited by 23 opinions
1Opinion of the Court
SWYGERT, Chief Judge.
This is an appeal from the disallowance of fifteen claims of individuals in the total amount of $972,500 asserted against the assets of a securities brokerage firm with regard to which an equitable receivership is in progress in the district court. The defendant in the equitable receivership, First Securities Company of Chicago (hereinafter, “First Securities”), was registered with the Securities and Exchange Commission as a broker-dealer in securities and was a member of the Midwest Stock Exchange and the National Association of Securities Dealers, Inc. On June 4, 1968,…
2Cases cited10 opinions
- Myzel v. FieldsCourt of Appeals for the Eighth Circuit · 1967
- Bertha Hecht, and v. Harris, Upham & Co., a Partnership, Harris, Upham & Co., Inc., a Corporation, AndCourt of Appeals for the Ninth Circuit · 1970
- Donald W. Buttrey, Trustee in Bankruptcy for Dobich Securities Corporation v. Merrill Lynch, Pierce, Fenner & Smith, Inc.Court of Appeals for the Seventh Circuit · 1969
- Hecht v. Harris, Upham & Co.District Court, N.D. California · 1968
- Tora C. Brennan v. Midwestern United Life Insurance Company, a CorporationCourt of Appeals for the Seventh Circuit · 1969
5 more not listed; retrieve them via the Exa API.
3Cited by23 opinions
- Rochez Brothers, Inc., a Pennsylvania Corporation v. Charles R. RhoadesCourt of Appeals for the Third Circuit · 1975
- Fed. Sec. L. Rep. P 96,030 Henry T. Sanders v. John Nuveen & Co., Inc.Court of Appeals for the Seventh Circuit · 1977
- Fed. Sec. L. Rep. P 97,862 G. A. Thompson & Co., Inc. v. Herbert Partridge, Robert M. Presley, Frank Andrews and C. Thomas MurphyCourt of Appeals for the Fifth Circuit · 1981
- Fed. Sec. L. Rep. P 94,788 Jack Kerbs v. Fall River Industries, Inc., a Colorado CorporationCourt of Appeals for the Tenth Circuit · 1974
- Fed. Sec. L. Rep. P 94,499 Olga Hochfelder v. Midwest Stock Exchange, Leon S. Martin v. Midwest Stock ExchangeCourt of Appeals for the Seventh Circuit · 1974
18 more not listed; retrieve them via the Exa API.