Broker Dealer - Judgment Search Results
Home > Cases Phrase: broker dealer Page 1 of about 1,400 results (0.042 seconds)Shearson/American Express Vs. Mcmahon
Court: US Supreme Court
Respondents were customers of petitioner Shearson/American Express Inc. (Shearson), a brokerage firm registered with the Securities and Exchange Commission (SEC), under "no person other than a municipal securities broker, municipal securities dealer, or person associated with such a municipal securities broker or
Tag this Judgment! Ask ChatGPTUnited States Vs. Nasd, Inc.
Court: US Supreme Court
The load is divided between the principal underwriter and the broker-dealers, compensating them for their sales efforts. [ Footnote 4 ] 1941, requires that principal underwriters enter into agreements with the dealers who distribute the fund's securities. See National Association of Securities
Tag this Judgment! Ask ChatGPTHolmes Vs. Securities Investor Protection Corporation
Court: US Supreme Court
not rest its claimed subrogation to the rights of the broker-dealers' customers on any provision of SIP A. See Brief for
Tag this Judgment! Ask ChatGPTBateman Eichler Vs. Berner
Court: US Supreme Court
therefore express no views with respect to the liability of brokerage firms as "controlling persons" in cases such as this. [ barred from pursuing a damages action, finding that the muffler dealers had relatively little bargaining power and that they had been
Tag this Judgment! Ask ChatGPTAnza Vs. Ideal Steel Supply Corp.
Court: US Supreme Court
development to dividend payouts. Cf. id. , at 271 (The broker-dealers simply cannot pay their bills, and only that intervening insolvency
Tag this Judgment! Ask ChatGPTAssistant Commissioner of Income Vs. Jaipur Stock Exchange
Court: Income Tax Appellate Tribunal ITAT Jaipur
Reported in: (2007)108TTJ(JP.)393
individual tra- of making profit and provis- dings of the brokers do not ions of Section 13 apply. attract provisions of of brokers, dealers and jobbers. The activities of the brokers, dealers and jobbers in stocks, shares and like securities were to
Tag this Judgment! Ask ChatGPTUnited States Vs. O'Hagan
Court: US Supreme Court
via the mechanism of a securities transaction-for example where a broker is directed to purchase stock for a client and instead
Tag this Judgment! Ask ChatGPTHemi Group, Llc Vs. City of New York
Court: US Supreme Court
SIPC had a duty to reimburse customers of certain registered broker-dealers in the event the broker-dealers were unable to meet their
Tag this Judgment! Ask ChatGPTState of West Bengal and ors. Vs. Hind Tea Company (P.) Ltd. and ors.
Court: Kolkata
Reported in: [1984]57STC97(Cal)
of such registered dealers in tea, to whom the said broker had actually sold the tea. Such point of decision has the officer concerned, that similar deduction like those other fellow dealers and manufacturers should also be given to them and that
Tag this Judgment! Ask ChatGPTSrj Securities Ltd. Vs. Assistant Commissioner of
Court: Income Tax Appellate Tribunal ITAT Delhi
both the business, but the question is whether the share broker and share dealing can be said to be one composite individual is acting as a dealer or working as a dealer, he is a master of his own what scrip to
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