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Legal Opinion

Silvia v. Securities Division

Massachusetts Appeals Court

Decided June 21, 2004No. 02-P-785PublishedCited by 8 opinions

1Opinion of the CourtCowin, J.

The Securities Division (division) of the Secretary of the Commonwealth (Secretary) charged the plaintiff with violations of G. L. c. 110A, §§ 101,1 102,2 201,3 and 301,4 in the following respects: transacting business in securities without being registered as a broker-dealer or agent; offering and selling securities which were not registered or exempt under the Massachusetts Uniform Securities Act (Act); and misstating or fail*352ing to state material facts in connection with the offer and sale of a security. A division hearing officer concluded that the plaintiff had wilfully violated §§ 101,…

2Cases cited13 opinions

  1. Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
  2. Reves v. Ernst & YoungSupreme Court of the United States · 1990
  3. First Pennsylvania Mortgage Trust v. Dorchester Savings BankMassachusetts Supreme Judicial Court · 1985
  4. VMark Software, Inc. v. EMC Corp.Massachusetts Appeals Court · 1994
  5. Securities & Exchange Commission v. EdwardsSupreme Court of the United States · 2004

8 more not listed; retrieve them via the Exa API.

3Cited by8 opinions

  1. Goldstein v. GalvinCourt of Appeals for the First Circuit · 2013
  2. Indus Partners, LLC v. Intelligroup, Inc.Massachusetts Appeals Court · 2010
  3. Thompson v. PeopleSupreme Court of Colorado · 2020
  4. Barry Graham Armstrong v. Office of the Secretary of the Commonwealth Securities DivisionMassachusetts Superior Court · 2022
  5. Cadle Co. v. Massachusetts Division of BanksMassachusetts Superior Court · 2006

3 more not listed; retrieve them via the Exa API.

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