Legal Opinion
SECURITIES AND EXCHANGE COMMISSION, Appellee, v. CHARLES PLOHN & CO., Appellants
Court of Appeals for the Second Circuit
Decided October 20, 1970No. 271, Docket 35348PublishedCited by 13 opinions
1Opinion of the Court
HAYS, Circuit Judge:
On August 27, 1970, the Securities and Exchange Commission filed suit in the United States District Court for the Southern District of New York against defendant Charles Plohn & Co., a broker-dealer registered with the Commission, and a suspended member firm of the New York Stock Exchange, charging it with violations of Section 8(c), 15(c)(2) and 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. §§ 78h(c), 78o(c) (2) and 78j(b) (1964) and Rules 8c-l, 15c2-l and 10b-5, 17 CFR 240.8c-l, 15c2-l, 10b-5 (1970), promulgated thereunder. The complaint alleges that since May…
2Cases cited5 opinions
- United States v. United Mine Workers of AmericaSupreme Court of the United States · 1947
- United States v. ShippSupreme Court of the United States · 1906
- William Sustin v. Irving B. AltmanCourt of Appeals for the Second Circuit · 1964
- William Leighton v. Paramount Pictures Corporation, Barney Balaban, Edwin Weisl and Paul E. ManheimCourt of Appeals for the Second Circuit · 1965
- Steinpreis v. ShookCourt of Appeals for the Fourth Circuit · 1967
3Cited by13 opinions
- In Re Feit & Drexler, Inc.Court of Appeals for the Second Circuit · 1985
- Securities & Exchange Commission v. R. J. Allen & Associates, Inc.District Court, S.D. Florida · 1974
- Securities and Exchange Commission, and Securities Investor Protection Corporation, Applicant-Appellee v. Alan F. Hughes, Inc. And Alan F. HughesCourt of Appeals for the Second Circuit · 1972
- Securities & Exchange Commission v. American Realty TrustDistrict Court, E.D. Virginia · 1977
- United States v. PescatoreCourt of Appeals for the Second Circuit · 2011
8 more not listed; retrieve them via the Exa API.