For reprint rights or to purchase a copy of your Daily Journal photo, email Jeremy_Ellis@dailyjournal.com for prices or call 213-229-5424.

To buy more copies, call 866-531-1492 or email subscribe@dailyjournal.com
This is the property of the Daily Journal Corporation and fully protected by copyright. It is made available only to Daily Journal subscribers for personal or collaborative purposes and may not be distributed, reproduced, modified, stored or transferred without written permission. Please click "Reprint" to order presentation-ready copies to distribute to clients or use in commercial marketing materials or for permission to post on a website. and copyright (showing year of publication) at the bottom.
Subscribe to the Daily Journal for access to Daily Appellate Reports, Verdicts, Judicial Profiles and more...

Securities
Bookmark

U.S. Securities & Exchange Commission v. Murphy

Ruling by

Kenneth K. Lee

Lower Court

USDC Southern District of California

Lower Court Judge

Anthony J. Battaglia

concurring Judge(s)

Kenneth K. Lee

Individuals who traded and acted as agents behaved as brokers within the Securities Exchange Act's meaning and were required to register as brokers.





To continue reading, please subscribe.
For only $95 a month (the price of 2 article purchases)
Receive unlimited article access and full access to our archives,
Daily Appellate Report, award winning columns, and our
Verdicts and Settlements.
Or
$895, but save $100 when you subscribe today… Just $795 for the first year!

Already a subscriber?

Enewsletter Sign-up

By using our website, you agree to our use of cookies in accordance with our cookie policy. You can learn more about how we use cookies by reviewing our Privacy Policy here.