Legal Opinion
Roach v. Woltmann
District Court, C.D. California
Decided November 23, 1994No. CV 94-5828-WMBPublishedCited by 3 opinions
1Opinion of the Court
ORDER
WM. MATTHEW BYRNE, Jr., Chief Judge.
I. BACKGROUND
This case arises out of a National Association of Securities Dealers (“NASD”) disciplinary action. On November 7, 1990, the NASD filed a complaint against plaintiff Gene Roach (“plaintiff’), then a member of the NASD, and his firm, Wilshire Discount Securities, Inc., for securities fraud based on conduct by plaintiff in 1989 and 1990. Defendant Lani Woltmann (“defendant”) acted as prosecutor for the NASD in a hearing before the NASD district business conduct committee (“DBCC”). As a result, on May 17,1991, the DBCC fined and censured…
2Cases cited10 opinions
- Sammy Lee Terrell v. R.D. Brewer, Warden Jon Morales Christopher C. PhillipsCourt of Appeals for the Ninth Circuit · 1991
- Myers v. Bethlehem Shipbuilding Corp.Supreme Court of the United States · 1938
- Barbara E. Fraley v. United States Bureau of PrisonsCourt of Appeals for the Ninth Circuit · 1993
- First Jersey Securities, Inc. v. BergenCourt of Appeals for the Third Circuit · 1979
- MISTER DISCOUNT STOCKBROKERS, INC. and William F. Miller, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Seventh Circuit · 1985
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3Cited by3 opinions
- Fed. Sec. L. Rep. P 99,521 Gerald R. Swirsky v. National Association of Securities DealersCourt of Appeals for the First Circuit · 1997
- Swirsky v. National AssociationCourt of Appeals for the First Circuit · 1997
- Swirsky v. National AssociationCourt of Appeals for the First Circuit · 1997