Legal Opinion
Fed. Sec. L. Rep. P 99,468 Wedbush, Noble, Cooke, Inc. v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided August 30, 1983No. 83-6035PublishedCited by 15 opinions
1Opinion of the Court
NORRIS, Circuit Judge.
FACTS
Appellant Securities and Exchange Commission (SEC) is conducting a formal, administrative investigation of Wedbush, Noble, Cooke, Inc. (Wedbush), a registered securities brokerage firm with offices in Los Angeles and other western cities. The investigation concerns suspected violations of the anti-fraud and anti-manipulation provi sions of the securities laws by Wedbush and its customers.
The SEC had issued subpoenas to numerous witnesses whose testimony was sought in connection with its investigation. No notice of these subpoenas was given directly to Wedbush, the…
2Cases cited4 opinions
- Sports Form, Inc., a Nevada Corporation v. United Press International, Inc., a Delaware CorporationCourt of Appeals for the Ninth Circuit · 1982
- Hovey v. McDonaldSupreme Court of the United States · 1883
- United States v. Arthur Fred BarelaCourt of Appeals for the Ninth Circuit · 1978
- Amoco Oil Company v. ZarbDistrict Court, District of Columbia · 1975
3Cited by15 opinions
- National Labor Relations Board v. Cincinnati Bronze, Inc.Court of Appeals for the Sixth Circuit · 1987
- Global NAPs, Inc. v. Verizon New England, Inc.Court of Appeals for the First Circuit · 2007
- Zermeno-Gomez v. United States District Court for the District of ArizonaCourt of Appeals for the Ninth Circuit · 2017
- Bergeson v. DilworthDistrict Court, D. Kansas · 1990
- Hill & Sandford, LLP v. Mirzai (In Re Mirzai)United States Bankruptcy Appellate Panel for the Ninth Circuit · 1999
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