Legal Opinion
Seghers v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided November 21, 2008No. 07-1478PublishedCited by 10 opinions
1Opinion of the Court
Opinion for the court filed by Circuit Judge HENDERSON.
KAREN LECRAFT HENDERSON, Circuit Judge:
Conrad Seghers petitions for review of the order of the Securities and Exchange Commission (SEC or Commission) barring him from future association with any investment adviser based on his violation of section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a), section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), Rule 10b-5, 17 C.F.R. § 240.10b-5, and section 206(1) and (2) of the Investment Advisers Act of 1940, 15 U.S.C. § 80b-6(l) & 80b-6(2) (collectively the an-tifraud…
2Cases cited14 opinions
- Corbitt v. New JerseySupreme Court of the United States · 1978
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- Fed. Sec. L. Rep. P 96,610 Securities and Exchange Commission v. Gerson Blatt, Barton S. Udell, and John PullmanCourt of Appeals for the Fifth Circuit · 1978
- Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
- Securities and Exchange Commission v. David E. LipsonCourt of Appeals for the Seventh Circuit · 2002
9 more not listed; retrieve them via the Exa API.
3Cited by10 opinions
- Raymond J. Lucia Companies, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2016
- Kornman v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Lorenzo v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2017
- Montford & Co. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2015
- Gibson v. Securities & Exchange CommissionCourt of Appeals for the Sixth Circuit · 2009
5 more not listed; retrieve them via the Exa API.