Legal Opinion
Rome v. Mandel
Colorado Court of Appeals
Decided December 29, 2016No. Court of Appeals No. 15CA2033PublishedCited by 3 opinions
1Opinion of the Court
Opinion by
JUDGE NAVARRO
¶ 1 The Securities Commissioner of Colorado, Gerald Rome, brought this civil enforcement action urider the Colorado Securities Act (CSA), §§ 11-51-101 to -908, C.R.S. 2016, against defendants, Marc Mandel and Wall Street Radio, Inc. d/b/á' Winning on Wall Street (WSR). The Commissioner al*390leged that defendants' had transacted business as investment advisers or investment adviser representatives without a license or exemption from licensure. According' to the Commissioner, they did so by: (1) responding to direct investment questions from clients through a service called…
2Cases cited23 opinions
- Crowell v. BensonSupreme Court of the United States · 1932
- Securities & Exchange Commission v. SmythCourt of Appeals for the Eleventh Circuit · 2005
- Continental Air Lines, Inc. v. KeenanSupreme Court of Colorado · 1987
- United States v. E. I. Du Pont De Nemours & Co.Supreme Court of the United States · 1961
- Lowe v. Securities & Exchange CommissionSupreme Court of the United States · 1985
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3Cited by3 opinions
- Rinker v. Colina-LeeColorado Court of Appeals · 2019
- Estate of Thomas Russell DaviesColorado Court of Appeals · 2022
- New Life Methodist Church v. Korean Methodist Church of the Americas, Jin Hi ChaColorado Court of Appeals · 2020