United States Ninth Circuit

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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

  • Argued
  • Submitted
  • Decided
  • Published 2017/02/02




  • United States Ninth Circuit


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