United States DC Circuit

In a petition for review of an SEC order barring Petitioner from associating with a broker or dealer in a supervisory capacity based on his failure to adequately supervise two of his employees, the petition is denied, where the SEC's order was reasonable and supported by substantial evidence.

Appellate Information

• Argued 11/13/2008
• Decided 06/26/2009
• Published 06/26/2009

Judges

• Before:  GARLAND and BROWN, Circuit Judges, and WILLIAMS, Senior Circuit Judge.

Court

• United States DC Circuit

Counsel

• For Appellant:
  
• Thomas D. Birge argued the cause and filed the briefs for petitioner.


• For Appellees:
  
• Dominick V. Freda, Senior Counsel, Securities & Exchange Commission, argued the cause for respondent.   With him on the brief were Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Randall W. Quinn, Assistant General Counsel.