Legal Opinion
EDWARD J. MAWOD & COMPANY and Edward J. Mawod, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Tenth Circuit
Decided January 24, 1979No. 77-1495PublishedCited by 39 opinions
1Opinion of the Court
WILLIAM E. DOYLE, Circuit Judge.
The appellants consist of Edward J. Mawod and Company together with Edward J. Mawod, individually, who was a principal of the Mawod brokerage firm. The cause is here on a petition for review of an order of the Securities and Exchange Commission issued May 6, 1977, which order suspended Mawod from association with any broker or dealer for one year and which revoked the broker-dealer registration of Mawod and Company. The request of the company to withdraw its registration as a broker-dealer was denied.
It was found that Mawod had willfully aided and abetted…
2Cases cited16 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Washington v. DavisSupreme Court of the United States · 1976
- Santa Fe Industries, Inc. v. GreenSupreme Court of the United States · 1977
- 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
11 more not listed; retrieve them via the Exa API.
3Cited by39 opinions
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2010
- Fed. Sec. L. Rep. P 98,209 Arthur L. Stokes v. Lawrence Lokken and Henson & Tully, a PartnershipCourt of Appeals for the Eighth Circuit · 1981
- Graham v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2000
- Fed. Sec. L. Rep. P 98,639 Dale Hackbart and Holmes Tire of Denver, Inc., a Colorado Corporation, by Dale Hackbart as Shareholder v. James F. HolmesCourt of Appeals for the Tenth Circuit · 1982
- Dean Woods v. Barnett Bank Of Fort LauderdaleCourt of Appeals for the Third Circuit · 1985
34 more not listed; retrieve them via the Exa API.