Legal Opinion
Paz Securities, Inc. v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided July 20, 2007No. 05-1467PublishedCited by 11 opinions
1Opinion of the Court
Opinion for the Court by Chief Judge GINSBURG.
GINSBURG, Chief Judge:
PAZ Securities, Inc. and its president, Joseph Mizrachi, petition for review of an order of the Securities and Exchange Commission sustaining the decision of the National Association of Securities Dealers to expel PAZ from membership and to bar Mizrachi from ever associating with any NASD member firm as sanctions for Mizrachi’s failure to respond to the NASD’s repeated requests for information from and about PAZ. We hold the Commission abused its discretion in two ways: (1) it failed to address certain mitigating factors…
2Cases cited10 opinions
- United States v. BajakajianSupreme Court of the United States · 1998
- Republic Steel Corp. v. National Labor Relations BoardSupreme Court of the United States · 1940
- Steadman v. Securities & Exchange CommissionSupreme Court of the United States · 1981
- Occidental Petroleum Corporation v. Securities and Exchange CommissionCourt of Appeals for the D.C. Circuit · 1989
- Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
5 more not listed; retrieve them via the Exa API.
3Cited by11 opinions
- Alpine Securities Corporation v. Financial Industry Regulatory Authority, Inc.Court of Appeals for the D.C. Circuit · 2024
- SEC v. Guy GentileCourt of Appeals for the Third Circuit · 2019
- Siegel v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Paz Securities, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2009
- Saad v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2013
6 more not listed; retrieve them via the Exa API.