Legal Opinion
Thomas A. SARTAIN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Ninth Circuit
Decided May 8, 1979No. 76-2935PublishedCited by 20 opinions
1Opinion of the Court
DUNIWAY, Circuit Judge:
Thomas A. Sartain petitions this court, pursuant to Section 25(a)(1) of the Securities Exchange Act of 1934, 15 U.S.C. § 78y(a)(l), to review an order of the Securities and Exchange Commission.
We affirm.
I. The Facts.
Sartain was involved with three entities: a holding company, Capital Planning Associates, Inc. (Planning Associates), a real estate investment trust, National Real Estate Fund (Real Estate), which was founded by Planning Associates, and a broker-dealer, Capital Planning Securities Co., Inc. (Securities), a wholly owned subsidiary of Planning Associates,…
2Cases cited19 opinions
- Goldberg v. KellySupreme Court of the United States · 1970
- Hannah v. LarcheSupreme Court of the United States · 1960
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Butz v. Glover Livestock Commission Co.Supreme Court of the United States · 1973
- Troy Cooper v. C. J. FitzharrisCourt of Appeals for the Ninth Circuit · 1978
14 more not listed; retrieve them via the Exa API.
3Cited by20 opinions
- Ronald G. SORRELL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1982
- Emil Lawrence v. Commodity Futures Trading CommissionCourt of Appeals for the Ninth Circuit · 1985
- MISTER DISCOUNT STOCKBROKERS, INC. and William F. Miller, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Seventh Circuit · 1985
- Peter EICHLER and Basil Witt, Petitioners, v. the SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1985
- Thomas M. Svalberg v. Securities and Exchange Commission, C. Brock Lippitt v. Securities and Exchange CommissionCourt of Appeals for the D.C. Circuit · 1989
15 more not listed; retrieve them via the Exa API.