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D.L. CROMWELL INVESTMENTS v. NASD REGULATION

Docket No. 01-7301.

279 F.3d 155 (2002)

D.L. CROMWELL INVESTMENTS, INC., Lloyd Bierne, David S. Davidson, Eric S. Thomas, and Matthew Greenwald, Plaintiffs-Appellants, v. NASD REGULATION, INC., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided February 1, 2002.

Attorney(s) appearing for the Case

Martin P. Russo, Peekskill, NY, for plaintiffs-appellants.

Terri L. Reicher, Associate General Counsel, National Association of Securities Dealers, Inc., Washington, DC, John J. Flood, on the brief, for defendants-appellees.

Before MESKILL, JACOBS, and CABRANES, Circuit Judges.

JACOBS, Circuit Judge.

Plaintiffs-appellants D.L. Cromwell Investments, Inc. ("Cromwell") and individual Cromwell employees, all members of the National Association of Securities Dealers, Inc. ("NASD"), have been the subject of ongoing investigations both by NASD Regulation, Inc. ("Regulation"), which is an investigatory arm of the NASD, and by federal prosecutors. They have sued to enjoin NASD Regulation from compelling them — under threat of sanctions authorized...

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