Legal Opinion
Securities & Exchange Commission v. Waco Financial, Inc.
District Court, W.D. Michigan
Decided July 16, 1981No. K81-152PublishedCited by 4 opinions
1Opinion of the Court
OPINION
BENJAMIN F. GIBSON, District Judge.
These parties are before this Court for the third time with respect to the status of WACO Financial as a securities dealer. In December, 1980, a permanent injunction by consent was issued against WACO and Prevatte. That Order enjoined defendants from further violations of the Securities and Exchange Commission’s (hereinafter SEC) rules regarding net capital, bookkeeping, customer protection and the filing of financial reports. During the pendency of that suit, the National Association of Securities Dealers (hereinafter NASD) was in the process of…
2Cases cited10 opinions
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Fed. Sec. L. Rep. P 97,588 Securities and Exchange Commission v. Stephen MurphyCourt of Appeals for the Ninth Circuit · 1980
- Fed. Sec. L. Rep. P 95,751 Securities and Exchange Commission v. World Radio Mission, Inc.Court of Appeals for the First Circuit · 1976
- Securities and Exchange Commission v. Falstaff Brewing Corporation and Paul KalmanovitzCourt of Appeals for the D.C. Circuit · 1980
- Kelley v. CarrDistrict Court, W.D. Michigan · 1977
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3Cited by4 opinions
- Togut v. RBC Dain Correspondent Services (In Re S.W. Bach & Co.)United States Bankruptcy Court, S.D. New York · 2010
- Fed. Sec. L. Rep. P 91,895 Securities and Exchange Commission v. Waco Financial, Inc. And J. Jerome PrevatteCourt of Appeals for the Sixth Circuit · 1985
- Prevatte v. National Ass'n of Securities Dealers, Inc.District Court, W.D. Michigan · 1988
- Prevatte v. NAT. ASS'N OF SECURITIES DEALERS, INC.District Court, W.D. Michigan · 1988