Legal Opinion
Graham v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided August 18, 2000No. 99-1029PublishedCited by 84 opinions
1Opinion of the Court
Opinion for the Court filed by Circuit Judge GARLAND.
GARLAND, Circuit Judge:
Sharon Graham and Stephen Voss petition for review of an order of the Securities and Exchange Commission (SEC) sanctioning them for conduct relating to trades executed for their customer, John Broumas. The Commission found that Graham, a registered representative with Voss’ brokerage firm, violated section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder by aiding and abetting Broumas in the fraudulent trading of stock. The Commission further concluded that Voss had failed reasonably…
2Cases cited37 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Blue Chip Stamps v. Manor Drug StoresSupreme Court of the United States · 1975
- Charles Kowal v. MCI Communications CorporationCourt of Appeals for the D.C. Circuit · 1994
- Herman & MacLean v. HuddlestonSupreme Court of the United States · 1983
- Heckler v. Community Health Services of Crawford County, Inc.Supreme Court of the United States · 1984
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3Cited by84 opinions
- Cromer Finance Ltd. v. BergerDistrict Court, S.D. New York · 2001
- Hertzberg v. VenemanDistrict Court, District of Columbia · 2003
- Sterling Trust Co. v. AdderleyTexas Supreme Court · 2005
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2008
- United States v. Alston-Graves, LoisCourt of Appeals for the D.C. Circuit · 2006
79 more not listed; retrieve them via the Exa API.