United States Sixth Circuit

Petitioner's petition for review of an SEC order barring him from associating with a broker-dealer is denied, where: 1) summary disposition is proper in SEC disciplinary proceedings; and 2) the SEC did not abuse its discretion by imposing a lifetime bar on Petitioner from participating in the securities industry.

Appellate Information

• Decided 04/09/2009
• Published 04/09/2009

Judges

• Before GUY, CLAY, and COOK, Circuit Judges.

Court

• United States Sixth Circuit

Counsel

• For Appellees:
  
• ON BRIEF:  Timothy R. Simonds, Presley & Simonds, Chattanooga, Tennessee, for Petitioner.  Allan Armistead Capute, Securities and Exchange Commission, Washington, D.C., for Respondent.