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Broker-Dealer Regulation

Nichols, 1st Ed.

ISBN-13: 978-0769891972
ISBN-10: 0769891977

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B

C

  • Capital Management Fund Ltd. v. Bennett
    680 F.3d 214 (2012)
  • Circuit City Stores, Inc. v. Adams
    532 U.S. 105, 121 S.Ct. 1302 (2001)
  • Cruse v. Equitable Securities of New York Inc.
    678 F.Supp. 1023 (S.D.N.Y. 1987)

D

  • Department of Enforcement v. Charles Schwab & Co., Inc.
    Decision, Complaint No. 2011029760201 (2014)
  • Department of Market Regulation v. Yankee Financial Group, Inc.
    No. CMS030182, 2006 NASD Discip. LEXIS 21 (Aug. 4, 2006)
  • Dept. of Enforcement v. Wall Street Strategies, Inc.
    Disc. Proceeding No. 2012033508702 (Sept. 15, 2015)
  • Dura Pharmaceuticals, Inc. v. Michael Broudo
    544 U.S. 336 (2005)

E

F

G

H

I

  • In re Ariad Pharms., Inc. Secs. Litig.
    2015 U.S. Dist. LEXIS 36818 (2015)
  • In re Carl M. Loeb, Rhoades & Co.
    38 S.E.C. 843 (1959)
  • In re Software Toolworks Inc. Securities Litigation
    38 F.3d 1078 (9th Cir. 1994)
  • In re Sterling Foster and Co., Inc. Securities Litigation
    222 F.Supp. 2d 216 (E.D.N.Y. 2002)
  • In re WorldCom, Inc. Securities Litigation
    US. Dist. LEXIS 25155, 346 F.Supp. 2d 628 (S.D.N.Y. 2004)
  • In the Matter of Arthur James Huff
    Exchange Act Release No. 29017, 1991 WL 296561 (Mar. 28, 1991)
  • In the Matter of Brutt, LCC
    Admin. Proc. File No. 3-11320 (Oct. 30, 2003)
  • In the Matter of Department of Enforcement v. Alan Jay Davidofsky
    Complaint No. 2008015934801 (Apr. 26, 2013)
  • In the Matter of First Albany Corporation, John T. Batal and Michael R. Lindburg
    Exchange Act Release No. 30515, (Mar. 25, 1992)
  • In the Matter of George J. Kolar
    Initial Decision Rel. No. 152, Administrative Proceeding File No. 3-99570
  • In the Matter of INET ATS, Inc.
    Admin. Proc. 3-12259 (Apr. 12, 2006)
  • In the Matter of Jack C. Smith, Jr.
    Administrative Proceeding File No. 3-14229, Exchange Act Release No. 34-63834 (2011)
  • In the Matter of John B. Hoffman and Kevin J. McCaffrey
    Administrative Proceeding File No. 3-11930 (May 19, 2005)
  • In the Matter of John H. Gutfreund, Thomas W. Strauss, and John W. Meriwether
    Exchange Act Release No. 31554 (Dec. 3, 1992)
  • In the Matter of Knight Capital Americas LLC
    Admin. Proc. File No. 3-15570 (Oct. 16, 2013)
  • In the Matter of Lehman Brothers, Inc., Respondent
    Release No. 48336/August 14 2003 (2003)
  • In the Matter of Michael W. Crow
    S.E.C. Release No. 376 (Apr. 22, 2009)
  • In the Matter of National Association of Securities Dealers, Inc.
    Release No. 34-3322 (Oct. 28, 1942)
  • In the Matter of New York Stock Exchange, Inc., Respondent
    Administrative Proceeding File No. 3-119892 (Apr. 12, 2005)
  • In the Matter of Prudential Securities, Inc.
    Exchange Act Release No. 33,082 (Oct. 21, 1993)
  • In the Matter of Raymond James Financial Services, Inc., J. Stephan Putman and David Lee Ullom
    Initial Decision Release No. 296 (Sept. 15, 2005)
  • In the Matter of Reynolds & Co.
    39 S.E.C. 902 (May 25, 1960)
  • In the Matter of Steven E. Muth and Richard J. Rouse
    86 S.E.C. Docket 956 (Oct. 3, 2005)
  • In the Matter of TD Ameritrade, Inc.
    Exchange Act Release No. 63,829 (Feb. 3, 2011)
  • In the Matter of the Application of Christopher J. Benz
    Admin Proc. File No. 3-8986 (Mar. 26, 1997)
  • In the Matter of the Application of Kirlin Securities, Inc. Anthony Kirincic and Andrew Israel
    Exchange Act Rel. 34-61135 (Dec. 10, 2009)
  • In the Matter of the Association of X as a General Securities Representative with the Sponsoring Firm
    SD11007 (2001)
  • In the Matter of Theodore W. Urban
    Exchange Act Rel. No. ID-402 (Sept. 8, 2010), No. 3-13655 (2010)
  • In the Matter of UBS Securities LLC
    Release No. 9697 / January 15 2015 (2015)
  • In the Matter of Wedbush Securities Inc.
    Admin. Proc. File No. 3-15913 (Nov. 20, 2014)

K

L

  • Leib v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
    41 F.Supp. 951 (E.D.Mich. 1978)

M

  • Michael Frederick Siegel
    2008 SEC LEXIS 2459 (Oct. 6, 2008)
  • Mihara v. Dean Witter & Co.
    619 F.2d 814 (9th Cir. 1980)

N

  • NECA-IBEW Health & Welfare Fund v. Goldman Sachs & Co.
    693 F.3d 145 (2d Cir. 2012)
  • Newton v. Merrill Lynch Pierce Fenner and Smith, Inc.
    135 F.3d. 266 (Jan. 30, 1998)

O

P

  • Pinter v. Dahl
    486 U.S. 622 (1988)
  • Pross v. Baird Patrick & Co., Inc.
    585 F.Supp. 1456 (S.D.N.Y. 1984)

R

  • Roth v. SEC
    22 F.3d 1108 (D.C.Cir. 1994)

S

  • Sanders v. John Nuveen & Co., Inc.
    619 F.2d 1222 (7th Cir. 1980)
  • Santa Fe Industries, Inc. v. Green
    430 U.S. 462 (1977)
  • Scottrade, Inc. v. BroCo Investments, Inc.
    774 F.Supp. 2d 573 (S.D.N.Y. 2011)
  • Securities and Exchange Commission (S.E.C.) In the Matter of Capital Funds, Inc.
    File No. 8-10968 (1964)
  • Securities and Exchange Commission v. Kenton Capital, Ltd.
    69 F.Supp.2d 1 (D.C.Cir.1998)
  • SEC v. Frank DiPascali, Jr.
    Civ. Doc #09-CV-7085 (S.D.N.Y. 2009)
  • SEC v. Goble
    682 F.3d 934 (11th Cir. 2012)
  • SEC v. Hasho
    784 F.Supp. 1059 (S.D.N.Y. 1992)
  • SEC v. Kramer
    778 F.Supp. 2d 1320 (M.D.Fla. 2011)
  • SEC v. Margolin
    Fed. Sec. L. Rep. (CCH) P97,025 (S.D.N.Y. 1992)
  • SEC v. Martino
    255 F.Supp.2d 268 (S.D.N.Y. 2003)
  • SEC v. Offil
    2012 U.S. Dist. LEXIS 9369, Fed. SEc. L. Rep. (CCH) P96,723 (N.D.Tex. 2012)
  • SEC v. Pasternak
    561 F.Supp.2d 459 (Dist. New Jersey 2008)
  • SEC v. Zandford
    535 U.S. 813 (2002)
  • Sharette v. Credit Suisse Intern.
    127 F.Supp.3d 60 (S.D.N.Y. 2015)
  • Shearson/American Express, Inc. v. McMahon
    482 U.S. 220, 107 S.Ct. 2332, 96 L.Ed.2d 185 (1987)
  • Special Situations Fund, III, L.P. v. Cocchiola
    Civ. No. 02-3099 (WHW)
  • Stonehill v. Sec. Nat'l Bank
    68 F.R.D. 24 (S.D.N.Y. 1975)

T

  • Trillium Brokerage Services, LLC
    AWC No. 20070076782-01 Aug. 5 2010 (2010)

U

  • UBS Financial Services, Inc. v. Carilion Clinic
    No. 12-2066 (4th Cir. Jan. 23, 2013)
  • United States v. Morgan
    118 F.Supp. 621 (S.D.N.Y. 1953)
  • United States v. Schwarz
    464 F.2d 499 (2d Cir. 1972)

W

  • Wang v. Bear Stearns Companies, LLC
    14 F.Supp.3d 537 (2014)
  • Wilko v. Swan
    346 U.S. 427, 74 S. Ct. 182, 98 L. Ed. 168 (1953)
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