Legal Opinion
Alan H. GOLD, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Seventh Circuit
Decided February 15, 1995No. 94-1915PublishedCited by 16 opinions
1Opinion of the Court
COFFEY, Circuit Judge.
Petitioner Alan H. Gold seeks judicial review of an order of the Securities and Exchange Commission (“SEC”) affirming disciplinary action taken against him by the New York Stock Exchange (“NYSE”). The issue raised in this appeal is whether Gold, who was formerly associated with a member firm of the NYSE, 1 had a Fifth Amendment due process right to actual notice, rather than constructive notice, that the NYSE was investigating his trading practices and thus retaining jurisdiction over him following his termination from the member firm. We affirm.
I. FACTUAL BACKGROUND
From…
2Cases cited15 opinions
- International Shoe Co. v. WashingtonSupreme Court of the United States · 1945
- Milliken v. MeyerSupreme Court of the United States · 1941
- Hannah v. LarcheSupreme Court of the United States · 1960
- Securities & Exchange Commission v. Jerry T. O'Brien, Inc.Supreme Court of the United States · 1984
- George J. Luddington v. Indiana Bell Telephone CompanyCourt of Appeals for the Seventh Circuit · 1992
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3Cited by16 opinions
- Free Enterprise Fund v. Public Co. Accounting Oversight BoardCourt of Appeals for the D.C. Circuit · 2008
- Cremin v. Merrill Lynch Pierce Fenner & Smith, Inc.District Court, N.D. Illinois · 1997
- Birkelbach v. Securities & Exchange CommissionCourt of Appeals for the Seventh Circuit · 2014
- Lehman Bros. Inc. v. CERTIFIED REPORTINGDistrict Court, N.D. Illinois · 1996
- Fed. Sec. L. Rep. P 99,524 Rnr Enterprises, Inc. And Robert J. Carlo, Richard K. Wells v. Securities and Exchange Commission, Applicant-AppelleeCourt of Appeals for the Second Circuit · 1997
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