& Stephen C Voss
|
53 SEC 1072
|
|
United States
|
|
|
|
1
|
Barker v Henderson, Franklin, Starnes & Holt
|
797 F2d 490
|
United States Court of Appeals, Seventh Circuit
|
United States
|
30 Jul 1986
|
WorldLII
|
|
45
|
Bisno v United States
|
299 F2d 711
|
United States Court of Appeals, Ninth Circuit
|
United States
|
21 Nov 1961
|
WorldLII
|
|
57
|
Bloor v Carro, Spanbock, Londin, Rodman & Fass
|
754 F2d 57
|
United States Court of Appeals, Second Circuit
|
United States
|
21 Jan 1985
|
WorldLII
|
|
28
|
Buffalo Forge Co v Ogden Corporation
|
555 FSupp 892
|
|
United States
|
circa 1985
|
Westlaw
|
|
3
|
Camp v Dema
|
948 F2d 455
|
United States Court of Appeals, Eighth Circuit
|
United States
|
1 Nov 1991
|
WorldLII
|
|
9
|
CE Carlson, Inc v SEC
|
859 F2d 1429
|
United States Court of Appeals, Tenth Circuit
|
United States
|
7 Nov 1988
|
WorldLII
|
|
18
|
Central Bank of Denver, NA v First Interstate Bank of Denver, NA
|
511 US 164; 128 L Ed 2d 119; 114 SCt 1439
|
United States Supreme Court
|
United States
|
19 Apr 1994
|
WorldLII
|
|
155
|
Cinerama, Inc v Technicolor, Inc
|
663 A2d 1134
|
|
United States
|
circa 1994
|
|
|
2
|
Dann v Noll
|
434 US 875; 54 L Ed 2d 155; 98 SCt 225
|
United States Supreme Court
|
United States
|
circa 1994
|
Westlaw
|
|
87
|
Dirks v SEC
|
463 US 646; 77 L Ed 2d 911; 103 SCt 3255
|
United States Supreme Court
|
United States
|
1 Jul 1983
|
WorldLII
|
|
77
|
Dirks v Securities and Exchange Commission
|
681 F2d 824; 220 USApp DC 309
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
18 May 1982
|
WorldLII
|
|
12
|
Ernst & Ernst v Hochfelder
|
425 US 185; 44 USLW 4451; 47 L Ed 2d 668; 96 SCt 1375
|
United States Supreme Court
|
United States
|
19 May 1976
|
WorldLII
|
|
627
|
Halberstam v Welch
|
705 F2d 472; 227 USApp DC 167
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
12 Apr 1983
|
WorldLII
|
|
36
|
In re Carlson
|
46 SEC 1125
|
|
United States
|
circa 1994
|
|
|
2
|
Investors Research Corporation Stowers v Securities and Exchange Commission H Driehaus
|
628 F2d 168; 202 USApp DC 168; 62 ALRFed 559
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
20 Oct 1980
|
WorldLII
|
|
15
|
Jacob Wonsover, Petitioner v Securities and Exchange Commission, Respondent
|
205 F3d 408
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
14 Mar 2000
|
WorldLII
|
|
8
|
K-Tel International Inc Securities Litigation v Rg N
|
300 F3d 881
|
United States Court of Appeals, Eighth Circuit
|
United States
|
2 Oct 2002
|
WorldLII
|
|
20
|
Kowal v McI Communications Corporation
|
16 F3d 1271; 305 USApp DC 60; 62 USLW 2624
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
1 Mar 1994
|
WorldLII
|
|
46
|
Kpmg Llp v Securities and Exchange Commission
|
289 F3d 109
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
16 Jul 2002
|
WorldLII
|
|
5
|
Levine v Securities and Exchange Commission
|
436 F2d 88
|
United States Court of Appeals, Second Circuit
|
United States
|
14 Dec 1970
|
WorldLII
|
|
3
|
Marrie v Securities and Exchange Commission
|
374 F3d 1196
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
16 Jul 2004
|
WorldLII
|
|
3
|
Nathenson v Zonagen Inc
|
267 F3d 400; 53 Idaho 54
|
United States Court of Appeals, Fifth Circuit
|
United States
|
15 Oct 2001
|
WorldLII
|
|
67
|
Ottmann v Hanger Orthopedic Group Incorporated
|
353 F3d 338
|
United States Court of Appeals, Fourth Circuit
|
United States
|
22 Dec 2003
|
WorldLII
|
|
7
|
Platsis v EF Hutton & Co , Inc
|
946 F2d 38
|
|
United States
|
circa 2000
|
Westlaw
|
|
4
|
Reliance on Advice of Counsel as a Defense to Securities Law Violations
|
37 Business Lawyer 1185
|
Business Lawyer
|
United States
|
|
HeinOnline
|
|
2
|
SEC v Blinder, Robinson & Co
|
542 FSupp 468
|
|
United States
|
|
Westlaw
|
|
4
|
SEC v Chenery Corporation
|
332 US 194; 91 L Ed 2d 1995; 91 L Ed 1995; 67 SCt 1575
|
United States Supreme Court
|
United States
|
23 Jun 1947
|
WorldLII
|
|
897
|
SEC v Spectrum, Ltd
|
489 F2d 535
|
United States Court of Appeals, Second Circuit
|
United States
|
4 Dec 1973
|
WorldLII
|
|
20
|
SEC v Steadman
|
967 F2d 636; 296 USApp DC 269
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
26 Jun 1992
|
WorldLII
|
|
17
|
Securities and Exchange Commission v A Bilzerian
|
29 F3d 689; 308 USApp DC 43; 63 USLW 2080
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
22 Jul 1994
|
WorldLII
|
|
22
|
Securities and Exchange Commission v Falstaff Brewing Corporation
|
629 F2d 62; 203 USApp DC 28
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
29 May 1980
|
WorldLII
|
|
7
|
Securities and Exchange Commission v Savoy Industries Inc S Zimmerman
|
665 F2d 1310; 215 USApp DC 7
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
28 Sep 1981
|
WorldLII
|
|
10
|
See, e g , Carter v Johnson
|
47 SEC 471
|
|
United States
|
circa 1981
|
|
|
2
|
Sharon M Graham and Stephen C Voss, Petitioners v Securities and Exchange Commission, Respondent
|
222 F3d 994
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
18 Aug 2000
|
WorldLII
|
|
7
|
Sundstrand Corporation v Sun Chemical Corporation
|
553 F2d 1033
|
United States Court of Appeals, Seventh Circuit
|
United States
|
18 Apr 1977
|
WorldLII
|
|
85
|
Svalberg v Securities and Exchange Commission C Lippitt
|
876 F2d 181; 277 USApp DC 422
|
United States Court of Appeals, District of Columbia Circuit
|
United States
|
26 May 1989
|
WorldLII
|
|
7
|
United States Securities and Exchange Commission v H Fehn
|
97 F3d 1276; 65 USLW 2251
|
United States Court of Appeals, Ninth Circuit
|
United States
|
9 Oct 1996
|
WorldLII
|
|
12
|
Woods v Barnett Bank of Fort Lauderdale
|
765 F2d 1004
|
United States Court of Appeals, Eleventh Circuit
|
United States
|
15 Jul 1985
|
WorldLII
|
|
27
|
7 Secdocket 403
|
7 SECDOCKET 403
|
|
|
circa 2000
|
|
|
2
|
53 Sec 271
|
53 SEC 271
|
|
United States
|
circa 2000
|
|
|
1
|
69 American Bankruptcy Law Journal 1
|
69 American Bankruptcy Law Journal 1
|
American Bankruptcy Law Journal
|
United States
|
circa 2000
|
HeinOnline / Westlaw
|
|
2
|