Legal Opinion
Datek Securities Corp. v. National Ass'n of Securities Dealers, Inc.
District Court, S.D. New York
Decided February 6, 1995No. 94 Civ. 8814 (CBM)PublishedCited by 6 opinions
1Opinion of the Court
OPINION ON MOTION TO DISMISS
MEMORANDUM OPINION
MOTLEY, District Judge.
BACKGROUND
This case arises out of an administrative complaint filed by the National Association of Securities Dealers (“NASD”) against the Plaintiffs on June 14, 1994 alleging several hundred violations of the NASD’s Rules of Practice and Procedures for the Small Order Execution System (“SOES”) over three separate periods between 1991 and 1993. (¶¶ 11, 18). 1 Plaintiff Datek Securities Corporation, a New York corporation, is a registered broker-dealer and has been a member of the NASD since 1970. (¶ 10). The individual…
2Cases cited10 opinions
- Lugar v. Edmondson Oil Co.Supreme Court of the United States · 1982
- First Jersey Securities, Inc. v. BergenCourt of Appeals for the Third Circuit · 1979
- Fed. Sec. L. Rep. P 94,948 United States of America v. Alan C. SolomonCourt of Appeals for the Second Circuit · 1975
- Guitard v. U.S. Secretary of the NavyCourt of Appeals for the Second Circuit · 1992
- MISTER DISCOUNT STOCKBROKERS, INC. and William F. Miller, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Seventh Circuit · 1985
5 more not listed; retrieve them via the Exa API.
3Cited by6 opinions
- Fiero v. Financial Industry Regulatory Authority, Inc.Court of Appeals for the Second Circuit · 2011
- D.L. Cromwell Investments, Inc., Lloyd Bierne, David S. Davidson, Eric S. Thomas, and Matthew Greenwald v. Nasd Regulation, Inc.Court of Appeals for the Second Circuit · 2002
- Rodriguez v. Beechmont Bus Service, Inc.District Court, S.D. New York · 2001
- Desiderio v. National Ass'n of Securities Dealers, Inc.District Court, S.D. New York · 1998
- Marchiano v. National Ass'n of Securities Dealers, Inc.District Court, District of Columbia · 2001
1 more not listed; retrieve them via the Exa API.