Broker-Dealer Regulation

Nichols, 1st Ed.

ISBN-13: 978-0769891972

ISBN-10: 0769891977

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A

Affiliated Ute Citizens v. United States
406 U.S. 128 (1972)

B

Basic Inc. v. Levinson
485 U.S. 224 (1988)
Bradford National Clearing Corp. v. Securities and Exchange Commission
590 F.2d 1085 (1978)
Brown v. E.F. Hutton Group, Inc.
991 F.2d 1020 (1993)

C

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

D

Department of Enforcement v. Charles Schwab & Company, Inc.
FINRA No. 2011029760201 (2014)
Department of Enforcement v. Wall Street Strategies, Inc.
Disc. Proceeding No. 2012033508702 (2015)
Department of Market Regulation v. Yankee Financial Group, Inc.
No. CMS030182, 2006 NASD Discip. LEXIS 21 (2006)
Dura Pharmaceuticals, Inc. v. Michael Broudo
544 U.S. 336, 125 S. Ct. 1627, 161 L. Ed. 2d 577 (2005)

E

Eastside Church of Christ v. National Plan, Inc.
391 F.2d 357 (1968)
Escott v. BarChris Construction Corp.
283 F.Supp. 643 (1968)

F

Feiner v. SS & C Technologies, Inc.
47 F.Supp. 2d 250 (1999)
Fleet Boston Robertson Stephens, Inc. v. Innovex, Inc.
264 F.3d 770 (2001)

G

General Bond & Share Co. v. SEC
39 F.3d 1451 (1994)
Gilmer v. Interstate/Johnson Lane Corp.
500 U.S. 20 (1991)

H

Halliburton Co. v. Erica P. John Fund, Inc.
573 U.S. 258, 134 S. Ct. 2398, 189 L. Ed. 2d 339 (2014)
Hertzberg v. Dignity Partners, Inc.
191 F.3d 1076 (1999)
Hollinger v. Titan Capital Corp.
914 F.2d 1564 (1990)

I

In re ARIAD Pharmaceuticals, Inc. Securities Litigation
2015 U.S. Dist. LEXIS 36818 (2015)
In re Carl M. Loeb, Rhodes & Co.
33 S.E.C. 843 (1959)
In re Software Toolworks, Inc.
38 F.3d 1078 (1994)
In re Sterling Foster and Co., Inc. Securities Litigation
222 F. Supp. 2d 216 (2002)
In re WorldCom, Inc. Securities Litigation
346 F. Supp. 2d 628 (2004)
In the Matter of Arthur James Huff
Exchange Act Release No. 29017, 1991 WL 296561 (1991)
In the Matter of Brut, LCC
Admin. Proc. File No. 3-11320 (2003)
In the Matter of Capital Funds, Inc.
File No. 8-10968 (1964)
In the Matter of Department of Enforcement v. Alan Jay Davidofsky
Complaint No. 2008015934801 (2013)
In the Matter of First Albany Corporation, John T. Batal and Michael R. Lindburg
Exchange Act Release No. 30515 (1992)
In the Matter of George J. Kolar
Initial Decision Rel. No. 152, Administrative Proceeding File No. 3-9570 (1999)
In the Matter of INET ATS, Inc.
Admin. Proc. 3-12259 (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. Hoffmann and Kevin J. McCaffrey
Administrative Proceeding File No. 3-11930 (2005)
In the Matter of John H. Gutfreund, et al.
51 SEC 93 (1992)
In the Matter of Knight Capital Americas LLC
Admin. Proc. File No. 3-15570 (2013)
In the Matter of Lehman Brothers, Inc.
Release No. 48336, File No. 3-11217 (2003)
In the Matter of Michael W. Crow
S.E.C. Release No. 376 (2009)
In the Matter of National Association of Securities Dealers, Inc.
Release No. 34-3322 (1942)
In the Matter of New York Stock Exchange, Inc.
Administrative Proceeding File No. 3-11892 (2005)
In the Matter of Prudential Securities, Inc.
Exchange Act Release No. 33,082 (1993)
In the Matter of Raymond James Financial Services, Inc., J. Stephan Putnam and David Lee Ullom
Initial Decision Release No. 296 (2005)
In the Matter of Reynolds & Co.
39 S.E.C. 902 (1960)
In the Matter of Steven E. Muth and Richard J. Rouse
Exchange Act Rel. No. 52551, 86 S.E.C. Docket 956 (2005)
In the Matter of TD Ameritrade, Inc.
Exchange Act Release No. 63,829 (2011)
In the Matter of the Application of Christopher J. Benz
Admin Proc. File No. 3-8986 (1997)
In the Matter of the Application of Kirlin Securities, Inc. Anthony Kirincic and Andrew Israel
Exchange Act Rel. 34-61135 (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 (2010), No. 3-13655 (2010)
In the Matter of UBS Securities LLC
Admin. Proc. File No. 3-16338 (2015)
In the Matter of Wedbush Securities Inc.
Admin. Proc. File No. 3-15913 (2014)

K

Krim v. pcOrder.com, Inc.
402 F.3d 489 (2005)

L

Leib v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
461 F. Supp. 951 (1978)

M

Michael Frederick Siegel
Exchange Act Rel. No. 58737, 2008 SEC LEXIS 2459 (2008)
Mihara v. Dean Witter & Co.
619 F.2d 814 (1980)

N

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

O

O'Connor v. R. F. Lafferty & Co., Inc.
965 F.2d 893 (1992)

P

Pinter v. Dahl
486 U.S. 622, 108 S.Ct. 2063, 100 L.Ed.2d 658 (1988)
Pross v. Baird, Patrick & Co., Inc.
585 F. Supp. 1456 (1984)

R

Roth v. Securities and Exchange Commission
22 F.3d 1108 (1994)

S

Sanders v. John Nuveen & Co., Inc.
619 F.2d 1222 (1980)
Santa Fe Industries, Inc. v. Green
430 U.S. 462, 97 S.Ct. 1292, 51 L.Ed.2d 480 (1977)
Scottrade, Inc. v. BroCo Investments, Inc.
774 F. Supp. 2d 573 (2011)
Securities and Exchange Commission v. Frank DiPascali, Jr.
Civ. Doc #09-CV-7085 (2009)
Securities and Exchange Commission v. Goble
682 F.3d 934 (2012)
Securities and Exchange Commission v. Hasho
784 F. Supp. 1059 (1992)
Securities and Exchange Commission v. Kenton Capital, Ltd.
69 F.Supp.2d 1 (1998)
Securities and Exchange Commission v. Kramer
778 F. Supp. 2d 1320 (2011)
Securities and Exchange Commission v. Margolin
Fed. Sec. L. Rep. (CCH) 97,025 (1992)
Securities and Exchange Commission v. Martino
255 F. Supp. 2d 268 (2003)
Securities and Exchange Commission v. Offill
2012 U.S. Dist. LEXIS 9369, Fed. Sec. L. Rep. (CCH) ¶ 96,723 (2012)
Securities and Exchange Commission v. Pasternak
561 F. Supp. 2d 459 (2008)
SEC v. Zandford
535 U.S. 813, 122 S.Ct. 1899, 153 L.Ed.2d. 1 (2002)
Sharette v. Credit Suisse International
127 F. Supp. 3d 60 (2015)
Shearson/American Express v. McMahon
482 U.S. 220, 107 S. Ct. 2332, 96 L. Ed. 2d 185 (1987)
Special Situations Fund, III, L.P. v. Cocchiola
Fed. Sec. L. Rep. ¶ 94459 (2007)
Stonehill v. Security National Bank
68 F.R.D. 24 (1975)

T

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

U

UBS Financial Services, Inc. v. Carilion Clinic
No. 12-2066 (2013)
United States v. Morgan
118 F. Supp. 621 (1953)
United States v. Schwartz
464 F.2d 499 (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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Broker-Dealer Regulation

Nichols, 1st Ed.

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Broker-Dealer Regulation

Nichols, 1st Ed.

A

B

C

D

E

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G

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