United States Eighth Circuit

SEC's decision to bar appellant from associating with an investment advisor, as the penalty for failing to report to the Commission and inform investors of a personal loan his company made to him, was warranted and proportionate.

Appellate Information

• Decided 08/12/2003
• Published 08/12/2003

Judges

• SMITH, Circuit Judge., Before WOLLMAN, RICHARD S. ARNOLD, and SMITH, Circuit Judges.

Court

• United States Eighth Circuit

Counsel

• For Appellant:
  
• David Wyvil Larson, argued, St. Paul, MN, for appellant.


• For Appellees:
  
• Susan K. Straus, argued, S.E.C., Washington DC, for appellee.