Legal Opinion
United States Securities & Exchange Commission v. Collyard
Court of Appeals for the Eighth Circuit
Decided June 29, 2017No. 16-1405PublishedCited by 14 opinions
1Opinion of the Court
BENTON, Circuit Judge.
The Securities and Exchange Commission sued Paul D. Crawford and Crawford Capital Corporation (collectively “Crawford”) for acting as unregistered brokers in violation of § 15(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78o(a). The district court granted the SEC summary judgment, permanently enjoined Crawford, and ordered disgorgement. Crawford appeals, arguing that he qualifies for a “finder exception” to broker registration, and that a statute of limitations bars the injunction and disgorgement. Having jurisdiction under 28 U.S.C. § 1291, this court affirms…
2Cases cited25 opinions
- Bell v. WolfishSupreme Court of the United States · 1979
- Weinberger v. Romero-BarceloSupreme Court of the United States · 1982
- Torgerson v. City of RochesterCourt of Appeals for the Eighth Circuit · 2011
- Hecht Co. v. BowlesSupreme Court of the United States · 1944
- Huntington v. AttrillSupreme Court of the United States · 1892
20 more not listed; retrieve them via the Exa API.
3Cited by14 opinions
- Ussec v. Hui FengCourt of Appeals for the Ninth Circuit · 2019
- SEC v. Guy GentileCourt of Appeals for the Third Circuit · 2019
- U.S. Sec. & Exch. Comm'n v. AhmedDistrict Court, D. Connecticut · 2018
- Sec. & Exch. Comm'n v. CohenDistrict Court, E.D. New York · 2018
- Smoky Hills Wind Project II v. City of Independence, MissouriCourt of Appeals for the Eighth Circuit · 2018
9 more not listed; retrieve them via the Exa API.