United States Ninth Circuit
Sharemaster v. US Securities & Exchange Commission, 13-73199
In a pro se petition for review brought by a registered broker dealer seeking review of an SEC decision that a $1000 penalty that the Financial Industry Regulatory Authority (FINRA) imposed on petitioner was not a 'live' sanction capable of redress, the petition is granted where the SEC's decision was interpretation of Securities Exchange Act Section 19(d)(2) was unreasonable and inconsistent with applicable law.
Appellate Information
- Published 2017/02/02
Judges
- SMITH
Court
- United States Ninth Circuit