Legal Opinion
Don D. Anderson & Co., Inc., and Don D. Anderson v. Securities and Exchange Commission
Court of Appeals for the Tenth Circuit
Decided March 31, 1970No. 45-69PublishedCited by 4 opinions
1Opinion of the Court
PICKETT, Circuit Judge.
This matter is before the court on petition of Don D. Anderson & Co., Inc. and Don D. Anderson of Oklahoma City, Oklahoma to review an order of the Securities and Exchange Commission (SEC) dismissing an application to re'"ew disciplinary action taken against the petitioners by the National Association of Securities Dealers, Inc. (NASD). The NASD is an association registered with the SEC under the cooperative regulation provisions of the Act, 15 U.S.C. 78o-3. The Anderson firm is a broker-dealer in securities registered with the Commission and a member of the NASD.…
2Cases cited10 opinions
- Leary v. United StatesSupreme Court of the United States · 1969
- Tot v. United StatesSupreme Court of the United States · 1943
- United States v. GaineySupreme Court of the United States · 1965
- United States v. RomanoSupreme Court of the United States · 1965
- Sidney Tager v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1965
5 more not listed; retrieve them via the Exa API.
3Cited by4 opinions
- Bruce C. Kixmiller v. Securities and Exchange CommissionCourt of Appeals for the D.C. Circuit · 1974
- QUINN AND COMPANY, Inc., and John Dornacker, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1971
- WALL STREET WEST, INC., and Theodore v. Abbruzzese, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1983
- In Re RidgwayNew Jersey Superior Court Appellate Division · 1971