Legal Opinion
Securities & Exchange Commission v. Merrill Scott & Associates, Ltd.
District Court, D. Utah
Decided May 21, 2007No. 2:02-cv-39PublishedCited by 12 opinions
1Opinion of the Court
ORDER AND MEMORANDUM DECISION
TENA CAMPBELL, Chief Judge.
Plaintiff Securities & Exchange Commission (SEC) seeks summary judgment against individual defendant Patrick M. Brody in this civil securities fraud action. Mr. Brody is the only remaining defendant in this five-year-old case.
As demonstrated below, the undisputed facts prove that Mr. Brody violated the anti-fraud provisions and broker registration requirements of the federal securities laws. Accordingly, the SEC is entitled to judgment as a matter of law, and the court GRANTS SEC’s Motion for Summary Judgment Against Defendant Patrick M.…
2Cases cited31 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Daubert v. Merrell Dow Pharmaceuticals, Inc.Supreme Court of the United States · 1993
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Adler v. Wal-Mart Stores, Inc.Court of Appeals for the Tenth Circuit · 1998
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3Cited by12 opinions
- Lamm Ex Rel. Ira v. State Street Bank & TrustCourt of Appeals for the Eleventh Circuit · 2014
- Francis v. Wynn Las Vegas, LLCNevada Supreme Court · 2011
- Guest v. Allstate InsuranceNew Mexico Court of Appeals · 2009
- Securities & Exchange Commission v. BrownDistrict Court, D. Minnesota · 2008
- In Re Semgroup Energy Partners, L.P.District Court, N.D. Oklahoma · 2010
7 more not listed; retrieve them via the Exa API.