1. Home
  2. Browse Decisions
  3. F.3d
  4. 101 F.3d
  5. 101 F.3d 37 (1996)
 

VAIL v. S.E.C.

No. 95-60502.

101 F.3d 37 (1996)

Henry E. VAIL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Fifth Circuit.

December 6, 1996.

Attorney(s) appearing for the Case

Daniel R. Kirshbaum, Axelrod, Smith & Kirshbaum, Houston, TX, for Petitioner.

Ross A. Albert, Angel Yang, Securities & Exchange Commission, Washington, DC, for Respondent.

Before WISDOM, SMITH and PARKER, Circuit Judges.

PER CURIAM:

Henry E. Vail appeals the Security and Exchange Commission's ("SEC") imposition of sanctions based on a finding that he violated Article III, § 1 of the National Association of Securities Dealers'("NASD") Rules of Fair Practice, which requires "members in the conduct of [their] business, to observe high standards of commercial honor and just and equitable principles of trade". First, Vail argues that his conduct...

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