Legal Opinion
Saad v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided October 13, 2017No. 15-1430PublishedCited by 12 opinions
1Opinion of the Court
Concurring opinion filed by Circuit Judge Kavanaugh.
Dubitante opinion filed by Circuit Judge Millett with respect to Section II.B of the opinion.
MILLETT; Circuit Judge:
■ John M.E. Saad, a broker-dealer, unlaw-. fully misappropriated his employer’s funds on two separate occasions, and then spent the next seven months misleading investigators in an effort to cover up his wrongdoing. After a lengthy review process, the Securities and Exchange Commission sustained a decision of the Financial Industry Regulatory Authority (“FINRA”) permanently barring Saad from membership and from.working with any…
2Cases cited6 opinions
- Kokesh v. Sec. & Exch. Comm'nSupreme Court of the United States · 2017
- Public Investors Arbitration Bar Ass'n v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2014
- Kokesh v. SECSupreme Court of the United States · 2017
- Siegel v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Michael A. Rooms v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 2006
1 more not listed; retrieve them via the Exa API.
3Cited by12 opinions
- Alpine Securities Corporation v. Financial Industry Regulatory Authority, Inc.Court of Appeals for the D.C. Circuit · 2024
- SEC v. Guy GentileCourt of Appeals for the Third Circuit · 2019
- National Horsemen's Benevolent v. BlackCourt of Appeals for the Fifth Circuit · 2022
- Sec. & Exch. Comm'n v. CohenDistrict Court, E.D. New York · 2018
- John Saad v. SECCourt of Appeals for the D.C. Circuit · 2020
7 more not listed; retrieve them via the Exa API.