Legal Opinion
Peter EICHLER and Basil Witt, Petitioners, v. the SECURITIES AND EXCHANGE COMMISSION, Respondent
Court of Appeals for the Ninth Circuit
Decided April 12, 1985No. 84-7236PublishedCited by 22 opinions
1Opinion of the Court
BEEZER, Circuit Judge:
Peter Eichler and Basil Witt brought this action seeking review of an order issued by the Securities and Exchange Commission (“SEC”). The SEC’s order affirmed disciplinary sanctions imposed upon Eichler and Witt by the National Association of Securities Dealers, Inc. (“NASD”). We affirm.
I •
BACKGROUND
Bateman Eichler, Hill Richards, Inc. (“BEHR”) is registered as a broker-dealer with the SEC and is a member of NASD. At the time of the events at issue in this case, Eichler was president of BEHR and Witt was the head of BEHR’s trading de partment. William Walker was BEHR’s…
2Cases cited11 opinions
- Richardson v. PeralesSupreme Court of the United States · 1971
- Consolidated Edison Co. v. National Labor Relations BoardSupreme Court of the United States · 1938
- Pearl Kehr v. Smith Barney, Harris Upham & Co., Incorporated Glenn Nordskog and Jim MartinCourt of Appeals for the Ninth Circuit · 1984
- Norris & Hirshberg, Inc. v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 1949
- Ronald G. SORRELL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1982
6 more not listed; retrieve them via the Exa API.
3Cited by22 opinions
- Russell Ponce v. Securities & Exchange CommissionCourt of Appeals for the Ninth Circuit · 2003
- Public Utilities Commission v. Federal Energy Regulatory CommissionCourt of Appeals for the Ninth Circuit · 2006
- Port of Seattle v. Federal Energy Regulatory CommissionCourt of Appeals for the Ninth Circuit · 2007
- Snoqualmie Indian Tribe v. Federal Energy Regulatory CommissionCourt of Appeals for the Ninth Circuit · 2008
- State of California, Ex Rel Bill Lockyer, Attorney General, the City of Santa Clara Transmission Agency of Northern California (Tanc) Northern California Power Agency, Petitioner-Intervenor v. Federal Energy Regulatory Commission, Pg & E National Energy Group Holdings Corporation, Respondent-Intervenor. Northern California Power Agency, Transmission Agency of Northern California, City of Santa Clara, City of Palo Alto, Modesto Irrigation District (Mid), Petitioner-Intervenor v. Federal Energy Regulatory Commission, Pacific Gas and Electric Company, National Energy Group, Respondent-IntervenorCourt of Appeals for the Ninth Circuit · 2003
17 more not listed; retrieve them via the Exa API.