Legal Opinion
Samuel B. Franklin & Company v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided June 3, 1961No. 16514PublishedCited by 26 opinions
1Opinion of the Court
HAMLIN, Circuit Judge.
Samuel B. Franklin & Co., herein called the petitioner, seeks review of an order of the Securities and Exchange Commission. That order affirmed disciplinary action taken by the National Association of Securities Dealers, Inc., imposing upon Franklin a censure, a fine of $1,000 and costs of $773.80.
Section 15A of the Securities and Exchange Act of 1934, 15 U.S.C.A. § 78o-3, was added by the so-called Maloney Act in 1938. This amendment provides for registration with the SEC of one or more “national securities association.” Those portions of the statute applicable to this…
2Cases cited11 opinions
- Packard Motor Car Co. v. National Labor Relations BoardSupreme Court of the United States · 1947
- Ex Parte CollettSupreme Court of the United States · 1949
- Association of Westinghouse Salaried Employees v. Westinghouse Electric Corp.Supreme Court of the United States · 1955
- United States v. DickersonSupreme Court of the United States · 1940
- Boston Sand and Gravel Co. v. United StatesSupreme Court of the United States · 1928
6 more not listed; retrieve them via the Exa API.
3Cited by26 opinions
- Arch Mineral Corporation v. Director, Office of Workers' Compensation Programs, United States Department of LaborCourt of Appeals for the Seventh Circuit · 1986
- West Penn Power Company v. United States Environmental Protection Agency and Lee M. Thomas, AdministratorCourt of Appeals for the Third Circuit · 1989
- Barnett v. United StatesCourt of Appeals for the Eighth Circuit · 1963
- Selco Supply Company v. United States Environmental Protection AgencyCourt of Appeals for the Tenth Circuit · 1980
- Connecticut Natural Gas Corp. v. Department of Public Utility ControlConnecticut Appellate Court · 1983
21 more not listed; retrieve them via the Exa API.