Legal Opinion
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. National Ass'n of Securities Dealers, Inc.
Court of Appeals for the Fifth Circuit
Decided May 16, 1980No. 77-3450PublishedCited by 13 opinions
1Opinion of the Court
AINSWORTH, Circuit Judge:
In this novel and important securities regulatory matter, the National Association of Securities Dealers, Inc. (NASD) appeals from the district court’s preliminary injunction barring it from proceeding with a disciplinary hearing against its member, Merrill Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch), and certain named employees of Merrill Lynch.1 The NASD contends the district court erred in interfering with its disciplinary hearing as the NASD’s decision not to sequester a complaining witness at the hearing, which prompted Merrill Lynch to seek injunctive…
2Cases cited14 opinions
- McKart v. United StatesSupreme Court of the United States · 1969
- Myers v. Bethlehem Shipbuilding Corp.Supreme Court of the United States · 1938
- Cobbledick v. United StatesSupreme Court of the United States · 1940
- Renegotiation Board v. Bannercraft Clothing Co.Supreme Court of the United States · 1974
- Parisi v. DavidsonSupreme Court of the United States · 1972
9 more not listed; retrieve them via the Exa API.
3Cited by13 opinions
- Philip Barbara v. New York Stock Exchange, Inc.Court of Appeals for the Second Circuit · 1996
- Holiday Spas v. Montgomery County Human Relations CommissionCourt of Appeals of Maryland · 1989
- National Ass'n of Securities Dealers, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2005
- Merrill Lynch, Pierce, Fenner & Smith, Inc. v. National Association Of Securities Dealers, Inc., Et Al.Court of Appeals for the Fifth Circuit · 1980
- First Montauk Securities Corp. v. Four Mile Ranch Development Co.District Court, S.D. Florida · 1999
8 more not listed; retrieve them via the Exa API.