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Legal Opinion

Stuart-James Company, Inc., and Marc N. Geman v. Securities & Exchange Commission

Court of Appeals for the D.C. Circuit

Decided September 20, 1988No. 87-1402PublishedCited by 17 opinions

1Opinion of the Court

Opinion for the Court filed by Circuit Judge MIKVA.

MIKVA, Circuit Judge:

The Stuart-James Company is a securities broker-dealer. Marc N. Geman is its executive vice-president. They petition for review of an order of the Securities and Exchange Commission (“Commission” or “SEC”) affirming a decision of the National Association of Securities Dealers (“NASD”) censuring them and imposing a $500 fine for violating the Commission’s net capital rule. Stuart-James is a member of NASD. Petitioners challenge the Commission’s interpretation of the term “unrealized profit” in the net capital rule, and…

2Cases cited9 opinions

  1. Touche Ross & Co. v. RedingtonSupreme Court of the United States · 1979
  2. Bowles v. Seminole Rock & Sand Co.Supreme Court of the United States · 1945
  3. United States v. LarionoffSupreme Court of the United States · 1977
  4. Emma Powderly v. Richard S. Schweiker, Secretary of the Department of Health and Human Services, and Donald T. Regan, Secretary of the TreasuryCourt of Appeals for the Ninth Circuit · 1983
  5. Sylvia H. Thompson v. Clark M. Clifford, as Secretary of DefenseCourt of Appeals for the D.C. Circuit · 1968

4 more not listed; retrieve them via the Exa API.

3Cited by17 opinions

  1. Sprint Corporation v. Federal Communications Commission and United States of America, American Public Communications Council, Inc., IntervenorsCourt of Appeals for the D.C. Circuit · 2003
  2. United States v. Concepcion PicciottoCourt of Appeals for the D.C. Circuit · 1989
  3. Transcanada Pipelines Limited v. Federal Energy Regulatory Commission, No. 87-1229Court of Appeals for the D.C. Circuit · 1989
  4. Nova v. Secretary of Veterans AffairsCourt of Appeals for the Federal Circuit · 2020
  5. Am. Bar Ass'n v. U.S. Dep't of Educ.Court of Appeals for the D.C. Circuit · 2019

12 more not listed; retrieve them via the Exa API.

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