United States Second Circuit

Termination of plaintiff's membership in the NYSE is affirmed over plaintiff's contentions that 1) the SEC's partiality required its hearing officer to recuse himself from the proceedings, 2) the SEC's commissioners were barred by their conflict of interest from hearing the case, and 3) the sanctions imposed were disproportionately harsh.

Appellate Information

• Decided 08/16/2004
• Published 08/16/2004

Judges

• SACK, Circuit Judge., Before:  SACK and RAGGI, Circuit Judges, and TRAGER, District Judge.

Court

• United States Second Circuit

Counsel

• For Appellant:
  
• Dominic F. Amorosa, New York, NY, for Petitioners.


• For Appellees:
  
• Michael A. Conley, Jennings Attorney Fellow, Securities and Exchange Commission (Giovanni P. Prezioso, General Counsel;  Eric Summergrad, Deputy Solicitor;  Mark Pennington, Assistant General Counsel;  Meyer Eisenberg, Deputy General Counsel, of counsel), Washington, DC, for Respondent.