United States First Circuit
Cody v. Sec. & Exchange Comm'n., 11-2247
In a complaint against a registered representative in the securities industry, the judgment of the Securities and Exchange Commission (SEC), upholding the Financial Industry Regulatory Authority's (FINRA) determination that the petitioner mismanaged various brokerage accounts under his supervision is affirmed, and petitioner's various challenges rejected, including claims that FINRA violated due process under the Fifth Amendment, that the FINRA erred in its findings of the suitability rule violation, and that the FINRA erred in finding that petitioner engaged in excessive trading.
Appellate Information
- Decided 09/07/2012
- Published 09/07/2012
Judges
- Boudin
Court
- United States First Circuit