United States Tenth Circuit

An SEC order upholding disciplinary action taken against petitioner by the National Association of Securities Dealers permanently barring him from the securities industry is affirmed over claims: 1) that the SEC abused its discretion by upholding the bar despite failing to find that he violated a particular procedural rule; 2) of a related due process violation; and 3) that the permanent bar was unjustified.

Appellate Information

• Decided 04/26/2006
• Published 04/26/2006

Judges

• McCONNELL, Circuit Judge., Before McCONNELL, ANDERSON, and BALDOCK, Circuit Judges.

Court

• United States Tenth Circuit

Counsel

• For Appellant:
  
• Submitted on the briefs:, Eric B. Liebman, Patrick G. Compton, Lindquist & Vennum, P.L.L.P., Denver, CO, for Petitioner.


• For Appellees:
  
• Giovanni P. Prezioso, General Counsel, Jacob H. Stillman, Solicitor, Allan A. Capute, Special Counsel to the Solicitor, Securities and Exchange Commission, Washington, DC, for Respondent.