Legal Opinion
Paz Securities, Inc. v. Securities & Exchange Commission
Court of Appeals for the D.C. Circuit
Decided May 29, 2009No. 19-1208PublishedCited by 14 opinions
1Opinion of the Court
GINSBURG, Circuit Judge:
PAZ Securities, Inc. and its president, Joseph Mizrachi, petition for review of an order of the Securities and Exchange Commission sustaining sanctions imposed upon them by the National Association of Securities Dealers (NASD). * Because the Commission did not abuse its discretion, we deny the petition.
I. Background
The facts underlying the petition are detailed in our earlier opinion and we review them only briefly here. For a more complete account, see PAZ Sec., Inc. v. SEC, 494 F.3d 1059, 1061-63 (2007) (PAZ I).
The NASD repeatedly requested information from PAZ and,…
2Cases cited13 opinions
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Steadman v. Securities & Exchange CommissionSupreme Court of the United States · 1981
- Jacob Siegel Co. v. Federal Trade CommissionSupreme Court of the United States · 1946
- Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
- Edward John McCarthy v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 2005
8 more not listed; retrieve them via the Exa API.
3Cited by14 opinions
- Siegel v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Raymond J. Lucia Companies, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2016
- Kornman v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Collins v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2013
- Saad v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2013
9 more not listed; retrieve them via the Exa API.