Legal Opinion
HINKLE NORTHWEST, INC., Ernest F. Hinkle, Kenneth T. LaMear and Dennis B. Reiter, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Ninth Circuit
Decided April 9, 1981No. 79-7005PublishedCited by 17 opinions
1Opinion of the Court
FERGUSON, Circuit Judge:
Petitioners seek review of a suspension order of the Securities and Exchange Commission (“SEC”) following a finding that they willfully violated recordkeeping, reporting, and financial-responsibility rules. We find that petitioners were correctly determined to be owners of the securities in issue, that the SEC was not collaterally estopped from so asserting, and that the sanctions imposed were justifiable. We therefore affirm.
I
In early 1975, Benjamin Franklin Savings and Loan Association (“Franklin”) of Portland, Oregon opened an account with Hinkle Northwest, Inc.…
2Cases cited18 opinions
- Parklane Hosiery Co. v. ShoreSupreme Court of the United States · 1979
- Cromwell v. County of SacSupreme Court of the United States · 1877
- Blonder-Tongue Laboratories, Inc. v. University of Illinois FoundationSupreme Court of the United States · 1971
- Kennedy v. Mendoza-MartinezSupreme Court of the United States · 1963
- Touche Ross & Co. v. RedingtonSupreme Court of the United States · 1979
13 more not listed; retrieve them via the Exa API.
3Cited by17 opinions
- In Re Peter Gottheiner, Bankrupt. United States of America v. Peter GottheinerCourt of Appeals for the Ninth Circuit · 1983
- Donald Hateley, the Cambridge Group, and Wendy Seretan v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1993
- Russell Ponce v. Securities & Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
- Emil Lawrence v. Commodity Futures Trading CommissionCourt of Appeals for the Ninth Circuit · 1985
- In the Matter of Petition for Naturalization of Sergio Elejar Mendoza v. United StatesCourt of Appeals for the Ninth Circuit · 1982
12 more not listed; retrieve them via the Exa API.