Legal Opinion
Michael A. Rooms v. Securities and Exchange Commission
Court of Appeals for the Tenth Circuit
Decided April 25, 2006No. 05-9531PublishedCited by 17 opinions
1Opinion of the Court
McCONNELL, Circuit Judge.
Michael A. Rooms petitions for review of an order of the Securities and Exchange Commission (SEC) upholding disciplinary action taken against him by the National Association of Securities Dealers (NASD). The NASD permanently barred him from the securities industry. The SEC found that Mr. Rooms deliberately sought to deceive the NASD during an examination, thereby violating NASD Conduct Rule 2110, which requires “observation of] high standards of commercial honor and just and equitable principles of trade.” On appeal, Mr. Rooms argues that (1) the SEC abused its…
2Cases cited14 opinions
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- Stump v. GatesCourt of Appeals for the Tenth Circuit · 2000
- C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1988
- QUINN AND COMPANY, Inc., and John Dornacker, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1971
- Daniel Joseph ALDERMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1997
9 more not listed; retrieve them via the Exa API.
3Cited by17 opinions
- Valley View Angus Ranch, Inc. v. Duke Energy Field Services, Inc.Court of Appeals for the Tenth Circuit · 2007
- United States v. GanadonegroDistrict Court, D. New Mexico · 2012
- Saad v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2017
- Cody v. Securities & Exchange CommissionCourt of Appeals for the First Circuit · 2012
- ACAP Financial, Inc. v. United States Securities & Exchange CommissionCourt of Appeals for the Tenth Circuit · 2015
12 more not listed; retrieve them via the Exa API.