Legal Opinion
Securities & Exchange Commission v. Alan F. Hughes, Inc.
Court of Appeals for the Second Circuit
Decided June 21, 1973No. 636, Docket 72-2166PublishedCited by 5 opinions
1Opinion of the Court
FEINBERG, Circuit Judge:
In August 1971, the Securities and Exchange Commission (SEC) filed a complaint in the United States District Court for the Northern District of New York alleging that Alan F. Hughes, Inc., a registered broker-dealer, aided and abetted by its president, Alan F. Hughes, had violated various provisions of the Securities Exchange Act of 1934. The complaint sought an injunction and appointment of a receiver. This relief was granted. Thereafter, the Securities Investor Protection Corporation (SIPC) determined that Hughes, Inc. was in danger of failing to meet its obligations…
2Cases cited6 opinions
- United States v. KrasSupreme Court of the United States · 1973
- Oscar Bethea v. Sherman H. Crouse, Warden, Kansas State Penitentiary, James Townsend v. Sherman H. Crouse, Warden, Kansas State PenitentiaryCourt of Appeals for the Tenth Circuit · 1969
- Gerald D. Peterson v. Isadore NadlerCourt of Appeals for the Eighth Circuit · 1971
- Securities and Exchange Commission, and Securities Investor Protection Corporation, Applicant-Appellee v. Alan F. Hughes, Inc. And Alan F. HughesCourt of Appeals for the Second Circuit · 1972
- In Re Evenod Perfumer, Inc.Court of Appeals for the Second Circuit · 1933
1 more not listed; retrieve them via the Exa API.
3Cited by5 opinions
- Fed. Sec. L. Rep. P 94,878 Securities Investor Protection Corporation v. Charisma Securities Corporation, Edwin L. Gasperini, Gasperini & SavageCourt of Appeals for the Second Circuit · 1974
- Sec v. HughesCourt of Appeals for the Second Circuit · 1973
- Securities & Exchange Commission v. Capital Counsellors, Inc.Court of Appeals for the Second Circuit · 1975
- Securities & Exchange Commission v. Securities Northwest, Inc.Court of Appeals for the Ninth Circuit · 1978
- Silvey v. CommissionerUnited States Tax Court · 1976