United States DC Circuit

Petition for review of an SEC order barring petitioner from association with investment advisers based on his violation of section 17(a) of the Securities Act of 1933 is denied where: 1) no genuine issues of material fact existed to prevent a summary disposition of the case; and 2) the sanction of permanently barring petitioner from associating with any investment adviser was not an abuse of discretion.

Appellate Information

• Argued 10/06/2008
• Decided 11/21/2008
• Published 11/21/2008

Judges

• Before:  SENTELLE, Chief Judge, and HENDERSON and GARLAND, Circuit Judges.

Court

• United States DC Circuit

Counsel

• For Appellant:
  
• Charles B. Manuel, Jr. argued the cause for the petitioner.  Shira Y. Rosenfeld was on brief.


• For Appellees:
  
• Christopher Paik, Special Counsel, Securities and Exchange Commission, argued the cause for the respondent.  Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, and Jacob H. Stillman, Solicitor, were on brief.  Leslie E. Smith, Senior Litigation Counsel, entered an appearance.