Legal Opinion
Robert Bruce ORKIN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Eleventh Circuit
Decided September 13, 1994No. 93-4415PublishedCited by 13 opinions
1Opinion of the Court
MELTON, Senior District Judge:
Petitioner, Robert Bruce Orkin (“Orkin”), seeks review of an order of the Securities and Exchange Commission (“SEC”) affirming disciplinary sanctions imposed by the National Association of Securities Dealers, Inc. (“NASD”). 1 The NASD sanctioned Or-kin for violations of Article III, Sections 1 and 4 of the NASD’s Rules of Fair Practice (“Rules”). Specifically, the NASD and the SEC found that Orkin breached the NASD’s 5% markup policy by charging retail customers excessive prices in sales of Orteeh Industries, Inc. (“Orteeh”) stock occurring from October 20, to…
2Cases cited7 opinions
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- United States v. National Association of Securities Dealers, Inc.Supreme Court of the United States · 1975
- Howard J. SHULTZ, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Seventh Circuit · 1980
- Barnett v. United StatesCourt of Appeals for the Eighth Circuit · 1963
- Handley Investment Company v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 1965
2 more not listed; retrieve them via the Exa API.
3Cited by13 opinions
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
- Megan Van Lynn v. Teena Farmon, WardenCourt of Appeals for the Ninth Circuit · 2003
- ZPR Investment Management Inc. v. Securities and Exchange CommissionCourt of Appeals for the Eleventh Circuit · 2017
- Fed. Sec. L. Rep. P 99,038Court of Appeals for the Ninth Circuit · 1995
- Morton Bruce Erenstein v. SECCourt of Appeals for the Eleventh Circuit · 2008
8 more not listed; retrieve them via the Exa API.