Legal Opinion
C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, Respondent
Court of Appeals for the Tenth Circuit
Decided November 7, 1988No. 86-2637PublishedCited by 56 opinions
1Opinion of the Court
BALDOCK, Circuit Judge.
Petitioner C.E. Carlson, Inc., is a registered securities broker-dealer, and petitioner Charles E. Carlson, is a registered broker and president of C.E. Carlson, Inc. The Securities and Exchange Commission (SEC) imposed sanctions on petitioners based on their activities in closing a public offering of common stock. Petitioners were unable to sell the minimum number of shares required by the prospectus to close the offering. They then attempted to avoid the failure of the offering by purchasing the remaining shares for Mr. Carlson and two limited partnerships which he…
2Cases cited33 opinions
- Consolidated Edison Co. v. National Labor Relations BoardSupreme Court of the United States · 1938
- Yick Wo v. HopkinsSupreme Court of the United States · 1886
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- TSC Industries, Inc. v. Northway, Inc.Supreme Court of the United States · 1976
- Oyler v. BolesSupreme Court of the United States · 1962
28 more not listed; retrieve them via the Exa API.
3Cited by56 opinions
- United States v. ArmstrongSupreme Court of the United States · 1996
- Provenz v. MillerCourt of Appeals for the Ninth Circuit · 1996
- National Commodity & Barter Ass'n, National Commodity Exchange v. GibbsCourt of Appeals for the Tenth Circuit · 1989
- Abbott v. Equity Group, Inc.Court of Appeals for the Fifth Circuit · 1993
- Banc One Capital Partners Corp. v. KneipperCourt of Appeals for the Fifth Circuit · 1995
51 more not listed; retrieve them via the Exa API.