Legal Opinion
Malouf v. SEC. & Exch. Comm'n
Court of Appeals for the Tenth Circuit
Decided August 13, 2019No. 16-9546PublishedCited by 44 opinions
1Opinion of the Court
BACHARACH, Circuit Judge.
Mr. Dennis Malouf occupied key roles at two firms. One of the firms (UASNM, Inc.) offered investment advice; the other firm (a branch of Raymond James Financial Services) served as a broker-dealer. Raymond James viewed those dual roles as a conflict, so Mr. Malouf sold the Raymond James branch. But the structure of the sale perpetuated the conflict. Because Mr. Malouf did not disclose perpetuation of the conflict, administrative officials sought sanctions against him for violating the federal securities laws.
An administrative law judge found that Mr. Malouf had…
2Cases cited39 opinions
- Consolidated Edison Co. v. National Labor Relations BoardSupreme Court of the United States · 1938
- Ross v. BlakeSupreme Court of the United States · 2016
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Hertz Corp. v. FriendSupreme Court of the United States · 2010
- Heckler v. ChaneySupreme Court of the United States · 1985
34 more not listed; retrieve them via the Exa API.
3Cited by44 opinions
- Andrew Cirko v. Commissioner Social SecurityCourt of Appeals for the Third Circuit · 2020
- Carr v. Commissioner, SSACourt of Appeals for the Tenth Circuit · 2020
- Gonnella v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2020
- Kimberly Springsteen-Abbott v. SECCourt of Appeals for the D.C. Circuit · 2021
- AGI Consulting v. American National InsuranceCourt of Appeals for the Tenth Circuit · 2020
39 more not listed; retrieve them via the Exa API.