Legal Opinion
Securities and Exchange Commission v. Paul S. Rubera, Securities and Exchange Commission v. Paul S. Rubera
Court of Appeals for the Ninth Circuit
Decided December 5, 2003No. 02-35886, 02-35907PublishedCited by 88 opinions
1Opinion of the Court
OPINION
ALARCÓN, Circuit Judge.
In this civil enforcement action filed by the Securities and Exchange Commission pursuant to Sections 20(d)(1) and 22(a) of the Securities Act of 1933, 15 U.S.C. §§ 77t(d)(1), 77v(a), and Sections 21(d)(3)(A), 21(e), and 27 of the Securities and Exchange Act of 1934, 15 U.S.C. §§ 78u(d)(3)(A), 78u(e), 78aa, (collectively “Securities Acts”), the district court entered judgment against Paul S. Rubera for violation of the registration provisions of Sections 5(a) and 5(c) of the Securities Act of 1933. 15 U.S.C. §§ 77e(a), (e). The district court entered judgment in…
2Cases cited30 opinions
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- John D. Williamson, Plaintiffs-Appellants-Cross v. Gordon G. Tucker, Defendants-Appellees-CrossCourt of Appeals for the Fifth Circuit · 1981
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- United Housing Foundation, Inc. v. FormanSupreme Court of the United States · 1975
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3Cited by88 opinions
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- Prete v. BradburyCourt of Appeals for the Ninth Circuit · 2006
- Lahoti v. VeriCheck, Inc.Court of Appeals for the Ninth Circuit · 2009
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