1. Home
  2. Browse Decisions
  3. F.3d
  4. 37 F.3d
  5. 37 F.3d 30 (1994)
 

FIRST INDEPENDENCE GROUP, INC. v. S.E.C.

No. 1382, Docket 93-4233.

37 F.3d 30 (1994)

FIRST INDEPENDENCE GROUP, INC.; Frank P. Giraldi and Mark S. Milana, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided April 29, 1994.

Filed October 5, 1994.

Attorney(s) appearing for the Case

Steven J. Popkin, New York City (Dominick J. Porto, New York City, of counsel), for petitioners.

Judith R. Starr, Sr. Litigation Counsel, S.E.C., Washington, DC (Simon M. Lorne, General Counsel, Jacob H. Stillman, Associate General Counsel, Ross A. Albert, Sr. Counsel, Paul Gronson, Sol., S.E.C., Washington, DC), for respondent.

Before: ALTIMARI, McLAUGHLIN and JACOBS, Circuit Judges.

ALTIMARI, Circuit Judge:*

Petitioners First Independence Group, Inc. ("FIG"), Frank P. Giraldi, and Mark S. Milana (collectively, "petitioners") appeal from an order of the Securities and Exchange Commission ("SEC"), affirming disciplinary action taken against them by the National Association of Securities Dealers ("NASD"). The NASD imposed sanctions on petitioners for, among other things, charging unfair and fraudulent markups to their...

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