Legal Opinion
Thomas M. Svalberg v. Securities and Exchange Commission, C. Brock Lippitt v. Securities and Exchange Commission
Court of Appeals for the D.C. Circuit
Decided May 26, 1989No. 86-1674, 86-1708PublishedCited by 21 opinions
1Opinion of the Court
Opinion for the Court filed PER CURIAM.
2Per curiam
In these two consolidated cases, Thomas M. Svalberg and C. Brock Lippitt petition for review of an order of the Securities and Exchange Commission (“SEC” or “the Commission”) affirming sanctions imposed upon them as principals in a now-defunct securities brokerage firm, Security Traders, Inc. (“SCI”), by the National Association of Securities Dealers (“NASD”). Because the record before us clearly supports the SEC’s judgment on the violations found and the sanctions imposed, we deny the petitions for review.
I. Background
In 1983, the District Business…
3Cases cited13 opinions
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Phelps Dodge Corp. v. National Labor Relations BoardSupreme Court of the United States · 1941
- United States v. Universal C. I. T. Credit Corp.Supreme Court of the United States · 1952
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
8 more not listed; retrieve them via the Exa API.
4Cited by21 opinions
- Banc One Capital Partners Corp. v. KneipperCourt of Appeals for the Fifth Circuit · 1995
- Ivan D. JONES, Jr., Petitioner, v. SECURITIES & EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fourth Circuit · 1997
- Morall v. Drug Enforcement AdministrationCourt of Appeals for the D.C. Circuit · 2005
- Securities & Exchange Commission v. First Pacific BancorpCourt of Appeals for the Ninth Circuit · 1998
- Howard v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2004
16 more not listed; retrieve them via the Exa API.