· 12/1/1983
Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Securities and Exchange Commission, Mario T. Ribeiro v. Securities and Exchange Commission
Citations
- 726 F.2d 472
- 1983 U.S. App. LEXIS 14872
How courts have described this case
Verbatim parenthetical descriptions written by other courts when citing this decision. Ranked by citation-network relevance.
- rejecting as inadequate defense that registered representative charged with NASD rules violation did not know sales violated NASD rules; registered representative is assumed to have knowledge of rules
Source: CourtListener parenthetical corpus (CC0).
Judges: Browning, Norris, Per Curiam, Schnacke
Read full opinion on CourtListenerSourced from CourtListener / Free Law Project (CC0).
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