Legal Opinion
Daniel Joseph ALDERMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Ninth Circuit
Decided January 8, 1997No. 95-70609PublishedCited by 30 opinions
1Opinion of the Court
RYMER, Circuit Judge:
Daniel Alderman seeks review of an order of the Securities and Exchange Commission that affirmed a disciplinary action against him by the National Association of Securities Dealers, Inc. Alderman was an associated person of American Interstate Financial Corp. (AIFC), an NASD member broker/dealer, and was an officer of AIFC’s parent company, Peregrine Holdings, Ltd. He was disciplined for violating Article III, Section 1 of the NASD Rules of Fair Practice by failing promptly to return AIFC client funds that ended up in Peregrine’s account. Alderman contends that the NASD…
2Cases cited14 opinions
- Universal Camera Corp. v. National Labor Relations BoardSupreme Court of the United States · 1951
- Cort v. AshSupreme Court of the United States · 1975
- Cohen v. CaliforniaSupreme Court of the United States · 1971
- Maynard v. CartwrightSupreme Court of the United States · 1988
- United States v. MazurieSupreme Court of the United States · 1975
9 more not listed; retrieve them via the Exa API.
3Cited by30 opinions
- John Draper v. D. RosarioCourt of Appeals for the Ninth Circuit · 2016
- Octavia Beltran-Tirado,petitioner v. Immigration and Naturalization ServiceCourt of Appeals for the Ninth Circuit · 2000
- Hertzberg v. Dignity Partners, Inc.Court of Appeals for the Ninth Circuit · 1999
- Palmer v. ValdezCourt of Appeals for the Ninth Circuit · 2009
- Russell Ponce v. Securities & Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
25 more not listed; retrieve them via the Exa API.