United States Seventh Circuit

Securities dealer's admission of all facts necessary to establish his guilt results in a waiver of his due process arguments, and dealer's ongoing deception and refusal to accept responsibility for misuse of victim's funds justifies SEC approval of sanctions by the Nat'l Assoc. of Securities Dealers, Inc.

Appellate Information

• Argued 04/17/2001
• Decided 06/12/2001
• Published 06/12/2001

Judges

• COFFEY, Circuit Judge., Before FAIRCHILD, CUDAHY, and COFFEY, Circuit Judges.

Court

• United States Seventh Circuit

Counsel

• For Appellant:
  
• James A. Bolt (argued), New Berlin, WI, for petitioner.


• For Appellees:
  
• Randall W. Quinn (argued), Susan Strauss, Securities & Exchange Commission, Office of the General Counsel, Washington, DC, for respondent.