Legal Opinion
Stoiber v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided December 8, 1998No. 98-1062PublishedCited by 32 opinions
1Opinion of the Court
Opinion for the Court filed by Circuit Judge WALD.
WALD, Circuit Judge:
Petitioner Gerald Stoiber is an Illinois broker associated with American Investment Services, Inc. (“AIS”). AIS is a member of the National Association of Securities Dealers, Inc. (“NASD”), a self-regulatory organization in the securities field. Stoiber borrowed a total of $495,000 from his customers, gave the lenders promissory notes in exchange, and used most of the money to invest in commodities. The NASD filed disciplinary charges against him, asserting that he violated the NASD Rules of Fair Practice by selling…
2Cases cited17 opinions
- United States v. BajakajianSupreme Court of the United States · 1998
- Reves v. Ernst & YoungSupreme Court of the United States · 1990
- Marine Bank v. WeaverSupreme Court of the United States · 1982
- United States v. Billy G. ByersCourt of Appeals for the D.C. Circuit · 1984
- Association of Bituminous Contractors, Inc. v. ApfelCourt of Appeals for the D.C. Circuit · 1998
12 more not listed; retrieve them via the Exa API.
3Cited by32 opinions
- Securities & Exchange Commission v. ThompsonCourt of Appeals for the Tenth Circuit · 2013
- Securities & Exchange Commission v. Global Telecom Services L.L.C.District Court, D. Connecticut · 2004
- Robin Bruce McNabb v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 2002
- Honig v. KornfeldDistrict Court, S.D. Florida · 2018
- John R. D'Alessio and D'Alessio Securities, Inc. v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2004
27 more not listed; retrieve them via the Exa API.