Legal Opinion
Mortimer W. Hanly, Arthur Gladstone, Frederick C. Stutzmann, Jr., Steven Charles Paras, and Charles Arthur Fehr v. Securities and Exchange Commission
Court of Appeals for the Second Circuit
Decided July 24, 1969No. 587, 588, 589, 590, 650, Dockets 33178, 33233, 33234, 33269, 33276PublishedCited by 101 opinions
1Opinion of the Court
TIMBERS, District Judge:
Five securities salesmen petition to review an order of the Securities and Exchange Commission which barred them from further association with any broker or dealer. 1 The Commission found that petitioners, in the offer and sale of the stock of U. S. Sonics Corporation (Sonics) between September 1962 and August 1963, willfully violated the antifraud provisions of Section 17(a) of the Securities Act of 1933,15 U.S.C. §§ 77q(a), Sections 10(b) and 15(c)(1) of the Securities Exchange Act of 1934, 15 U.S.C. §§ 78j (b) and 78o(c)(l), and Rule 10b-5, 17 C.F.R. § 240.10b-5.…
2Cases cited22 opinions
- American Power & Light Co. v. Securities & Exchange CommissionSupreme Court of the United States · 1946
- Leo Vine v. Beneficial Finance Company, Inc., and Charles H. Dowd, Stuart A. Wixson, George J. Springer, C. H. Donohue and Crown Finance Company, Inc.Court of Appeals for the Second Circuit · 1967
- Mutual Shares Corporation, Spingarn Heine & Co., and Norte & Co. v. Genesco, Inc., and W. Maxey JarmanCourt of Appeals for the Second Circuit · 1967
- Charles Hughes & Co. v. Securities & Exchange CommissionCourt of Appeals for the Second Circuit · 1943
- Lehigh Valley Trust Company v. Central National Bank of JacksonvilleCourt of Appeals for the Fifth Circuit · 1969
17 more not listed; retrieve them via the Exa API.
3Cited by101 opinions
- Securities and Exchange Commission v. Manor Nursing Centers, Inc.Court of Appeals for the Second Circuit · 1972
- Mayflower Securities Co. v. Bureau of SecuritiesSupreme Court of New Jersey · 1973
- Rolf v. Blyth, Eastman Dillon & Co.Court of Appeals for the Second Circuit · 1978
- Barry Belmont v. MB Investment Partners, Inc.Court of Appeals for the Third Circuit · 2013
- Globus v. Law Research Service, Inc.Court of Appeals for the Second Circuit · 1969
96 more not listed; retrieve them via the Exa API.