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Broker-Dealer Regulation

Nichols, 1st Ed.

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

    Basic Inc. v. Levinson

    485 U.S. 224 (1988)

    Bradford Nat. Clearing Corp. v. SEC

    590 F.2d 1085 (1978)

    Brown v. E.F. Hutton Group, Inc.

    991 F.2d 1020 (2d Cir. 1993)
  • 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

    Eastside Church of Christ v. National Plan, Inc.

    391 F.2d 257 (5th Cir. 1968)

    Escott v. BarChris Construction Corp.

    283 F.Supp. 643 (S.D.N.Y. 1968)
  • F

    Feiner v. SS & C Technologies, Inc.

    47 F.Supp. 2d 250 (D.Conn. 1999)

    Fleet Boston Robertson Stephens, Inc. v. Innovex, Inc.

    264 F.3d 770 (8th Cir. 2001)
  • G

    General Bond Share Co. v. SEC

    39 F.3d 1451 (10th Cir. 1994)

    Gilmer v. Interstate/Johnson Lane Corp.

    500 U.S. 20, 111 S.Ct. 1647, 114 L.Ed.2d 26 (1991)
  • H

    Halliburton Co. v. Erica P. John Fund, Inc.

    134 S.Ct. 2398 (2014)

    Hertzberg v. Dignity Partners, Inc.

    191 F.3d 1076 (9th Cir. 1999)

    Hollinger v. Titan Capital Corp.

    914 F.2d 1564 (9th Cir. 1990)
  • 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

    Krim v. pcOrder.com, Inc.

    402 F.3d 489 (5th Cir. 2005)
  • 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

    O'Connor v. R. F. Lafferty & Co., Inc.

    965 F.2d 893 (10th Cir. 1992)
  • 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)