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Legal Opinion

Edward John McCarthy v. Securities and Exchange Commission

Court of Appeals for the Second Circuit

Decided April 26, 2005No. Docket 03-40977PublishedCited by 84 opinions

1Opinion of the Court

CARDAMONE, Circuit Judge.

' Congress passed the Securities Exchange Act of 1934(Act) so that investors might have confidence in the integrity of floor traders operating on the New York Stock Exchange (N.Y.SE or Stock Exchange), who by virtue of their position enjoy advantages that the investing public does not. This appeal brings before us a conviction against a floor broker for violating various provisions of the Act and its related regulations. Insofar as the broker’s petition challenges his conviction, the petition is denied. But the two-year suspension upheld by the Securities and Exchange…

2Cases cited13 opinions

  1. Jane M. Booking v. General Star Management Company and General Star Indemnity CompanyCourt of Appeals for the Second Circuit · 2001
  2. Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
  3. Knipe v. SkinnerCourt of Appeals for the Second Circuit · 1993
  4. United States v. Dharamdeo Babwah and Deodath MaharajCourt of Appeals for the Second Circuit · 1992
  5. ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1977

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3Cited by84 opinions

  1. Cortlandt Street Recovery Corp. v. Hellas TelecommunicationsCourt of Appeals for the Second Circuit · 2015
  2. United States v. QuinonesCourt of Appeals for the Second Circuit · 2007
  3. Dean v. University at Buffalo School of Medicine & Biomedical SciencesCourt of Appeals for the Second Circuit · 2015
  4. Igli Filja, Luljeta Filja, Endrit Filja v. Alberto R. Gonzales, Attorney General of the United StatesCourt of Appeals for the Third Circuit · 2006
  5. Bolmer v. OliveiraCourt of Appeals for the Second Circuit · 2010

79 more not listed; retrieve them via the Exa API.

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