1. Home
  2. Browse Decisions
  3. F.3d
  4. 27 F.3d
  5. 27 F.3d 339 (1994)
 

STEPHEN INV. SECURITIES, INC. v. S.E.C.

No. 93-3426.

27 F.3d 339 (1994)

STEPHEN INVESTMENT SECURITIES, INC., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eighth Circuit.

Decided June 20, 1994.

Attorney(s) appearing for the Case

Thomas M. Blumenthal, St. Louis, MO, argued, for appellant.

Brian F. McNally, of the Securities and Exchange Commission, Washington, DC, argued, for appellee.

Before RICHARD S. ARNOLD, Chief Judge, HENLEY, Senior Circuit Judge, and MAGILL, Circuit Judge.

MAGILL, Circuit Judge.

Stephen Investment Securities, Inc. (Stephen, Inc.) appeals the Securities and Exchange Commission's (SEC) order affirming a disciplinary action taken against Stephen, Inc. by the National Association of Securities Dealers, Inc. (NASD). Because substantial evidence in the record supports the SEC's order and the SEC's order does not violate the bankruptcy court's automatic stay, we affirm.

I. BACKGROUND

In July 1986, an NASD...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases