United States DC Circuit

Petitioners were properly found to have violated section 5 of the Securities Act by selling or participating in the sale of unregistered securities. The sanctions opposed were appropriate.

Appellate Information

• Argued 01/20/2004
• Decided 04/12/2004
• Published 04/09/2004

Judges

• Before:  HENDERSON, RANDOLPH, and GARLAND, Circuit Judges.

Court

• United States DC Circuit

Counsel

• For Appellant:
  
• Jeffrey J. Scott argued the cause and filed the briefs for petitioner Gene C. Geiger., David A. Zisser argued the cause and filed the briefs for petitioner Charles F. Kirby.


• For Appellees:
  
• Randall W. Quinn, Assistant General Counsel, Securities and Exchange Commission, argued the cause for respondent.   With him on the brief were Giovanni P. Prezioso, General Counsel, Meyer Eisenberg, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Susan K. Straus, Attorney.