Legal Opinion
Ivan D. JONES, Jr., Petitioner, v. SECURITIES & EXCHANGE COMMISSION, Respondent
Court of Appeals for the Fourth Circuit
Decided June 16, 1997No. 95-3119PublishedCited by 84 opinions
1Opinion of the Court
Affirmed by published opinion. Judge NIEMEYER wrote the opinion, in which Judge MURNAGHAN and Judge DIANA GRIBBON MOTZ joined.
OPINION
NIEMEYER, Circuit Judge:
Ivan D. Jones, Jr., a stockbroker, was censured, suspended briefly, and fined in October 1992 by the National Association of Securities Dealers (“NASD”) for illegal conduct in connection with two private offerings and various “back room” violations. Approximately six months later, the Securities and Exchange Commission (“SEC”) instituted a broader administrative proceeding against Jones arising out of the same conduct. Finding that Jones…
2Cases cited19 opinions
- Richardson v. PeralesSupreme Court of the United States · 1971
- Consolidated Edison Co. v. National Labor Relations BoardSupreme Court of the United States · 1938
- United States v. HalperSupreme Court of the United States · 1989
- United States v. Utah Construction & Mining Co.Supreme Court of the United States · 1966
- United States v. UrserySupreme Court of the United States · 1996
14 more not listed; retrieve them via the Exa API.
3Cited by84 opinions
- Hudson v. United StatesSupreme Court of the United States · 1997
- Tyrone Andrews v. J. M. Daw, in His Individual CapacityCourt of Appeals for the Fourth Circuit · 2000
- Yapp v. Excel CorporationCourt of Appeals for the Tenth Circuit · 1999
- Securities and Exchange Commission v. Kevin Michael McCarthy Thomas William BlodgettCourt of Appeals for the Ninth Circuit · 2003
- Graham v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2000
79 more not listed; retrieve them via the Exa API.