Legal Opinion
Charles P. Lawrence v. Securities and Exchange Commission
Court of Appeals for the First Circuit
Decided July 11, 1968No. 7084_1PublishedCited by 46 opinions
1Opinion of the Court
COFFIN, Circuit Judge.
Petitioner appeals from a Securities and Exchange Commission finding that he had wilfully violated the anti-fraud provisions of the federal securities laws 1 and an order barring him for six months from associating with any broker or dealer and thereafter requiring that, if reemployed in the securities business, he be restricted to a non-supervisory capacity.
Petitioner, a branch office manager of a registered broker-dealer, had acted as a broker for a Mrs. Barber, the sole owner of the 100 shares of Seastores, Inc., a corporation operating a marina and a marine supplies…
2Cases cited14 opinions
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- Tcherepnin v. KnightSupreme Court of the United States · 1967
- Leo Vine v. Beneficial Finance Company, Inc., and Charles H. Dowd, Stuart A. Wixson, George J. Springer, C. H. Donohue and Crown Finance Company, Inc.Court of Appeals for the Second Circuit · 1967
- Glona v. American Guarantee & Liability InsuranceSupreme Court of the United States · 1967
- United States v. Carl D. SchaeferCourt of Appeals for the Seventh Circuit · 1962
9 more not listed; retrieve them via the Exa API.
3Cited by46 opinions
- Aldrich v. McCulloch Properties, Inc.Court of Appeals for the Tenth Circuit · 1980
- Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1969
- Fed. Sec. L. Rep. P 92,683 John Bershad v. Bernard P. McDonoughCourt of Appeals for the Seventh Circuit · 1970
- John Daniel v. International Brotherhood of Teamsters, Chauffeurs, Warehousemen and Helpers of AmericaCourt of Appeals for the Seventh Circuit · 1977
- Vernon J. Rockler & Co. v. Graphic Enterprises, Inc.District Court, D. Minnesota · 1971
41 more not listed; retrieve them via the Exa API.