(DOWNLOAD) "Gold v. Securities and Exchange Commission" by Seventh Circuit U.S. Court of Appeals ~ Book PDF Kindle ePub Free
eBook details
- Title: Gold v. Securities and Exchange Commission
- Author : Seventh Circuit U.S. Court of Appeals
- Release Date : January 15, 1995
- Genre: Law,Books,Professional & Technical,
- Pages : * pages
- Size : 71 KB
Description
COFFEY, Circuit Judge. Petitioner Alan H. Gold seeks judicial review of an order of the Securities and Exchange Commission (""SEC"") affirming disciplinary action taken against him by the New York Stock Exchange (""NYSE""). The issue raised in this appeal is whether Gold, who was formerly associated with a member firm of the NYSE,1 had a Fifth Amendment due process right to actual notice, rather than constructive notice, that the NYSE was investigating his trading practices and thus retaining jurisdiction over him following his termination from the member firm. We affirm. I. FACTUAL BACKGROUND