Legal Opinion
Birkelbach v. Securities & Exchange Commission
Court of Appeals for the Seventh Circuit
Decided May 2, 2014No. 13-2896PublishedCited by 20 opinions
1Opinion of the Court
KAPALA, District Judge.
Carl Birkelbach seeks review of a Securities and Exchange Commission (“SEC”) order barring him for life from participation in the securities industry. In his * The Honorable Frederick J. Kapala of the United States District Court for the Northern District of Illinois, sitting by designation, petition, Birkelbach contends that the SEC’s order was erroneous because the original disciplinary complaint was untimely and the lifetime bar was an excessive punishment. For the following reasons, we deny the petition.
I. BACKGROUND
A. The SEC’s Regulatory Structure
“The SEC is the…
2Cases cited10 opinions
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- Faye Haugerud v. Amery School DistrictCourt of Appeals for the Seventh Circuit · 2001
- Edward John McCarthy v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2005
- Robert Shad, Molly Shad, and Samantha Shad v. Dean Witter Reynolds, Inc., a Corporation Milton Ponitz and Lee McMahonCourt of Appeals for the Ninth Circuit · 1986
- Fed. Sec. L. Rep. P 99,254 Thomas F. Costello, Cross-Appellant v. Oppenheimer & Co., Inc., Cross-AppelleeCourt of Appeals for the Seventh Circuit · 1983
5 more not listed; retrieve them via the Exa API.
3Cited by20 opinions
- Sierra Club v. Oklahoma Gas & Electric Co.Court of Appeals for the Tenth Circuit · 2016
- Reading Health System v. Bear Stearns Co IncCourt of Appeals for the Third Circuit · 2018
- Hamer v. City of TrinidadCourt of Appeals for the Tenth Circuit · 2019
- United States v. Spectrum Brands, Inc.Court of Appeals for the Seventh Circuit · 2019
- Mid Atlantic Capital v. BienCourt of Appeals for the Tenth Circuit · 2020
15 more not listed; retrieve them via the Exa API.