Legal Opinion
Kevin Lee Otto v. Securities and Exchange Commission
Court of Appeals for the Seventh Circuit
Decided June 12, 2001No. 00-3897PublishedCited by 13 opinions
1Opinion of the Court
COFFEY, Circuit Judge.
On September 15, 2000, the Securities and Exchange Commission (“SEC” or “Commission”) issued an order pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 78s(d)(l), affirming disciplinary action taken by the National Association of Securities Dealers, Inc. (“NASD”) against Kevin Otto. Otto, a securities salesman associated with an NASD member firm at the time of the misconduct charged, seeks review of the SEC order pursuant to 15 U.S.C. § 78y(a)(l). We deny Otto’s petition and affirm the SEC’s order.
I. Factual Background
During all times relevant to the…
2Cases cited9 opinions
- Richardson v. PeralesSupreme Court of the United States · 1971
- Jackson v. Metropolitan Edison Co.Supreme Court of the United States · 1974
- Susan A. Desiderio v. National Association of Securities Dealers, Inc.Court of Appeals for the Second Circuit · 1999
- R.J. O'Brien & Assoc., Inc. v. Thomas D. PipkinCourt of Appeals for the Seventh Circuit · 1995
- Keith Nowicki, D/B/A K & F Food Market v. United StatesCourt of Appeals for the Seventh Circuit · 1976
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3Cited by13 opinions
- Birkelbach v. Securities & Exchange CommissionCourt of Appeals for the Seventh Circuit · 2014
- Michael A. Rooms v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 2006
- Monetta Financial Services, Inc. And Robert S. Bacarella v. Securities and Exchange CommissionCourt of Appeals for the Seventh Circuit · 2004
- Paz Securities, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2007
- United States Securities and Exchange Commission v. Glen T. VittorCourt of Appeals for the Eleventh Circuit · 2003
8 more not listed; retrieve them via the Exa API.