Legal Opinion
Kornman v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided January 15, 2010No. 09-1074PublishedCited by 16 opinions
1Opinion of the Court
Opinion for the Court by Circuit Judge ROGERS.
ROGERS, Circuit Judge:
The Securities and Exchange Commission permanently barred Gary M. Kornman from association with any broker, dealer, or investment adviser pursuant to section 15(b) of the Securities and Exchange Act of 1934 and section 203(f) of the Investment Advisers Act of 1940. Kornman challenges the Commission’s decision to bar his association as an investment adviser on two principal grounds: first, there was not substantial evidence in the record to support the finding that he was an investment adviser at the time of the “alleged…
2Cases cited32 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Chevron U. S. A. Inc. v. Natural Resources Defense Council, Inc.Supreme Court of the United States · 1984
- Consolidated Edison Co. v. National Labor Relations BoardSupreme Court of the United States · 1938
- Auer v. RobbinsSupreme Court of the United States · 1997
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3Cited by16 opinions
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- Raymond J. Lucia Companies, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2016
- Spirit Airlines, Inc. v. United States Department of TransportationCourt of Appeals for the D.C. Circuit · 2012
- Bean Dredging, LLC v. United StatesDistrict Court, District of Columbia · 2011
- Louis DeNaples v. Office of the Comptroller of CurrencyCourt of Appeals for the D.C. Circuit · 2013
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