Legal Opinion
Ronald G. SORRELL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Ninth Circuit
Decided June 24, 1982No. 81-7334PublishedCited by 40 opinions
1Opinion of the Court
EUGENE A. WRIGHT, Circuit Judge:
Sorrell petitions us to reverse sanctions imposed upon him by the National Association of Securities Dealers (NASD), and affirmed but reduced by the Securities and Exchange Commission. We must determine whether the record offers adequate support for the conclusions of the SEC.
The NASD charged Sorrell with selling unregistered securities and failing to notify his employer, Cochrane & Co., of such sales. Cochrane & Co. and its president, Edward Cochrane, were charged with failing adequately to supervise Sorrell. The NASD District Business Committee held a hearing…
2Cases cited13 opinions
- Parker v. LevySupreme Court of the United States · 1974
- Fed. Sec. L. Rep. P 97,588 Securities and Exchange Commission v. Stephen MurphyCourt of Appeals for the Ninth Circuit · 1980
- First Jersey Securities, Inc. v. BergenCourt of Appeals for the Third Circuit · 1979
- ARTHUR LIPPER CORPORATION and Arthur Lipper, III, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Second Circuit · 1977
- TODD AND COMPANY, INC. and Thomas K. Langbein, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Third Circuit · 1980
8 more not listed; retrieve them via the Exa API.
3Cited by40 opinions
- Jarkesy v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2015
- C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1988
- Donald Hateley, the Cambridge Group, and Wendy Seretan v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1993
- Ackerberg v. JohnsonCourt of Appeals for the Eighth Circuit · 1989
- Association of American Railroads v. United States Department of TransportationCourt of Appeals for the D.C. Circuit · 2013
35 more not listed; retrieve them via the Exa API.