United States Seventh Circuit

Petition for review of SEC order upholding a sanction against a certified public accountant acting as a Limited Principal-Financial and Operations (FINOP) for a securities broker is denied over petitioner's arguments that: 1) rules he was held to have violated did not apply to him; and 2) the standard by which his conduct was judged was too high.

Appellate Information

• Decided 07/21/2006
• Published 07/21/2006

Judges

• WILLIAMS, Circuit Judge., Before POSNER, ROVNER, and WILLIAMS, Circuit Judges.

Court

• United States Seventh Circuit

Counsel

• For Appellant:
  
• Nicholas T. Avello, Addison, IL, pro se.


• For Appellees:
  
• Jacob H. Stillman, Office of the General Counsel, Washington, DC, Mary Keefe, Chicago, IL, for Respondent.