Legal Opinion
Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Securities and Exchange Commission, Mario T. Ribeiro v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided December 1, 1983No. 82-7387, 82-7396PublishedCited by 8 opinions
1Per curiam
Kenneth A. Carter and Mario T. Ribeiro, formerly registered representatives of the San Diego branch office of Independent Securities Corporation (ISC), seek to set aside an opinion and order of the Securities and Exchange Commission affirming disciplinary action by the National Association of Securities Dealers, Inc. (NASD). The Commission found that Carter and Ribeiro had violated Section 5 of the Securities Act of 1933, 15 U.S.C. § 77e, by selling securities without complying with the registration requirements of that Act. The Commission also found that Carter and Ribeiro had violated…
2Cases cited4 opinions
- Federal Communications Commission v. WJR, Goodwill Station, Inc.Supreme Court of the United States · 1949
- Thomas A. SARTAIN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1979
- HINKLE NORTHWEST, INC., Ernest F. Hinkle, Kenneth T. LaMear and Dennis B. Reiter, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1981
- Philip S. SIRIANNI, Petitioner, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1982
3Cited by8 opinions
- Donald Hateley, the Cambridge Group, and Wendy Seretan v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1993
- Daniel Joseph ALDERMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1997
- Michael A. Rooms v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 2006
- Alan H. GOLD, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Seventh Circuit · 1995
- Brownson v. Securities & Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
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