Legal Opinion
Securities Investor Protection Corp. v. Stratton Oakmont, Inc.
United States Bankruptcy Court, S.D. New York
Decided January 13, 1999No. 18-13822PublishedCited by 20 opinions
1Opinion of the Court
Corrected Text of Bench Ruling of October 19, 1998 Granting Trustee’s Motion for an Order Upholding his Determinations Denying “Customer” Status to Claimants
TINA L. BROZMAN, Chief Judge.
The Trustee of Stratton Oakmont, Inc. (“Stratton”) seeks an order upholding his determination that 57 individuals who filed claims (the “Claimants”) are not “customers” of a broker-dealer undergoing liquidation in accordance with the Securities Investor Protection Act of 1970, as amended (“SIPA”), 15 U.S.C. § 78eee(b)(l).
I
Shortly after Stratton’s expulsion from the National Association of Securities Dealers…
2Cases cited12 opinions
- In Re Stalvey & Associates, Inc.Court of Appeals for the Fifth Circuit · 1985
- In Re Brentwood Securities, Inc.Court of Appeals for the Ninth Circuit · 1991
- Hill v. Spencer Savings & Loan Ass'n (In Re Bevill, Bresler & Schulman, Inc.)District Court, D. New Jersey · 1988
- In Re Adler Coleman Clearing Corp.United States Bankruptcy Court, S.D. New York · 1996
- In Re Hanover Square SecuritiesUnited States Bankruptcy Court, S.D. New York · 1985
7 more not listed; retrieve them via the Exa API.
3Cited by20 opinions
- Mishkin v. Siclari (In Re Adler, Coleman Clearing Corp.)United States Bankruptcy Court, S.D. New York · 2002
- In Re Klein, Maus & Shire, Inc.United States Bankruptcy Court, S.D. New York · 2003
- Securities Investor Protection Corp. v. Bernard L. Madoff Investment Securities LLCDistrict Court, S.D. New York · 2014
- Arford v. MillerDistrict Court, S.D. New York · 1999
- Securities Investor Protection Corp. v. Bernard L. Madoff Investment Securities LLC (In Re Madoff)United States Bankruptcy Court, S.D. New York · 2011
15 more not listed; retrieve them via the Exa API.