Legal Opinion
Marketlines, Inc. v. The Securities and Exchange Commission
Court of Appeals for the Second Circuit
Decided October 9, 1967No. 139, Docket 31113PublishedCited by 16 opinions
1Per curiam
Marketlines, Inc. (Marketlines) seeks review of an order of the Securities and Exchange Commission (Commission) which revoked its registration as an investment adviser under the Investment Advisers Act of 1940. 1 The Commission relied upon two unrelated series of events. It found that Marketlines, aided and abetted by David S. Romanoff, president, treasurer and sole stockholder, and Harold Schreiber, who was vice-president and secretary until January 11, 1965 and continued his association with the company thereafter, violated the anti-fraud provisions of Section 206 of the Act by publishing…
2Cases cited4 opinions
- Consolo v. Federal Maritime CommissionSupreme Court of the United States · 1966
- Irwin Berko v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1963
- Ward Laboratories, Inc. v. Federal Trade CommissionCourt of Appeals for the Second Circuit · 1960
- Marketlines, Inc. v. ChamberlainAppellate Court of Illinois · 1965
3Cited by16 opinions
- Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1969
- Charles P. Lawrence v. Securities and Exchange CommissionCourt of Appeals for the First Circuit · 1968
- Mr. Steak, Inc. v. River City Steak, Inc.District Court, D. Colorado · 1970
- Armstrong, Jones & Co., and Thomas W. Itin v. Securities and Exchange CommissionCourt of Appeals for the Sixth Circuit · 1970
- Fed. Sec. L. Rep. P 92,455 Robert W. Nees v. Securities and Exchange Commission, William Reigel v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1969
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