Legal Opinion
Howard v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided July 30, 2004No. 03-1098PublishedCited by 39 opinions
1Opinion of the Court
Opinion for the Court filed by Circuit Judge RANDOLPH.
Opinion concurring in the judgment filed by Circuit Judge HENDERSON.
RANDOLPH, Circuit Judge:
Nicholas P. Howard petitions for review of a Securities and Exchange Commission order imposing sanctions on him for aiding and abetting alleged securities laws violations committed in the course of closing two private placement offerings of common stock in 1991 and 1992. The SEC’s opinion holding Howard liable is confused and confusing. The SEC first held that “awareness of wrongdoing” is a necessary element of aiding and abetting, but it marshaled…
2Cases cited27 opinions
- Securities & Exchange Commission v. Chenery Corp.Supreme Court of the United States · 1947
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Central Bank of Denver, N. A. v. First Interstate Bank of Denver, N. A.Supreme Court of the United States · 1994
- Fed. Sec. L. Rep. P 95,887 Sundstrand Corporation v. Sun Chemical CorporationCourt of Appeals for the Seventh Circuit · 1977
- Halberstam v. WelchCourt of Appeals for the D.C. Circuit · 1983
22 more not listed; retrieve them via the Exa API.
3Cited by39 opinions
- Aktieselskabet Af 21. November 2001 v. Fame Jeans Inc.Court of Appeals for the D.C. Circuit · 2008
- Sterling Trust Co. v. AdderleyTexas Supreme Court · 2005
- United States v. Alston-Graves, LoisCourt of Appeals for the D.C. Circuit · 2006
- Malouf v. SEC. & Exch. Comm'nCourt of Appeals for the Tenth Circuit · 2019
- Dolphin & Bradbury, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2008
34 more not listed; retrieve them via the Exa API.