Legal Opinion
Robin Bruce McNabb v. Securities and Exchange Commission
Court of Appeals for the Ninth Circuit
Decided August 12, 2002No. 00-71528PublishedCited by 23 opinions
1Opinion of the Court
*1129OPINION
MAGILL, Circuit Judge.
This case involves two issues arising out of a disciplinary proceeding brought by the National Association of Securities Dealers, Inc. (the “NASD”) against appellant, Robin Bruce McNabb. First, McNabb appeals the Securities and Exchange Commission’s (the “Commission”) final order, issued October 4, 2000, which found that certain promissory notes were securities under section 3(a)(10) of the Securities and Exchange Act of 1934 (the “1934 Act”). See 15 U.S.C. § 78c(a)(10) (1994). Second, McNabb appeals the Commission’s decision to sustain the sanctions imposed upon…
2Cases cited6 opinions
- Reves v. Ernst & YoungSupreme Court of the United States · 1990
- Resolution Trust Corp. v. StoneCourt of Appeals for the Tenth Circuit · 1993
- Securities and Exchange Commission v. R.G. Reynolds Enterprises, Inc. Richard ReynoldsCourt of Appeals for the Ninth Circuit · 1991
- Stoiber v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 1998
- Daniel Joseph ALDERMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1997
1 more not listed; retrieve them via the Exa API.
3Cited by23 opinions
- Perrysburg Township v. City of RossfordOhio Supreme Court · 2004
- Securities & Exchange Commission v. ThompsonCourt of Appeals for the Tenth Circuit · 2013
- Securities & Exchange Commission v. Global Telecom Services L.L.C.District Court, D. Connecticut · 2004
- Securities and Exchange Commission v. J.T. Wallenbrock and Associates Larry Toshio Osaki Van Y. Ichscinotsubo Citadel Capital Management Group, Inc.Court of Appeals for the Ninth Circuit · 2002
- Honig v. KornfeldDistrict Court, S.D. Florida · 2018
18 more not listed; retrieve them via the Exa API.