United States Second Circuit
D. L. CROMWELL INV.S, INC. v. NASD REGULATION, INC., 01-7301
Plaintiff's Fifth Amendment rights were not violated by defendant's demand that they submit to on-the-record interviews in connection with its ongoing investigations of plaintiffs.
Appellate Information
- Decided 02/04/2002
- Published 02/04/2002
Judges
- JACOBS, Circuit Judge., Before MESKILL, JACOBS, and CABRANES, Circuit Judges.
Court
- United States Second Circuit
Counsel
- For Appellant:
- Martin P. Russo, Peekskill, NY, for plaintiffs-appellants.
- For Appellees:
- Terri L. Reicher, Associate General Counsel, National Association of Securities Dealers, Inc., Washington, DC, John J. Flood, on the brief, for defendants-appellees.