Legal Opinion
Robert T. Stead v. Securities and Exchange Commission
Court of Appeals for the Tenth Circuit
Decided August 16, 1971No. 382-70PublishedCited by 16 opinions
1Opinion of the Court
SETH, Circuit Judge.
Robert T. Stead has petitioned this court, pursuant to section 25(a) of the Securities Exchange Act of 1934, to review an order of the Securities and Exchange Commission. The commission’s order barred Stead from association with any broker or dealer, with the proviso that he could become employed in a supervised capacity after three months upon a showing that he would be adequately supervised. A memorandum opinion and order denying the petition of Stead for rehearing but granting Stead’s request for a stay pending judicial review was entered.
In its findings and opinion,…
2Cases cited5 opinions
- Gilligan, Will & Co., a Partnership, and James Gilligan and William Will v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1959
- Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1969
- Irwin Berko v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1963
- Sidney Tager v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1965
- Trennis K. Lile v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1963
3Cited by16 opinions
- Mayflower Securities Co. v. Bureau of SecuritiesSupreme Court of New Jersey · 1973
- C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1988
- Securities & Exchange Commission v. Drexel Burnham Lambert Inc.District Court, S.D. New York · 1993
- EDWARD J. MAWOD & COMPANY and Edward J. Mawod, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1979
- QUINN AND COMPANY, Inc., and John Dornacker, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1971
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