BLINDER, ROBINSON & CO., INC. v. S.E.C.

Nos. 87-1080, 87-1086.

837 F.2d 1099 (1988)

BLINDER, ROBINSON & CO., INC., Petitioner, v. SECURITIES & EXCHANGE COMMISSION, Respondent. Meyer BLINDER, Petitioner, v. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided January 15, 1988.


Attorney(s) appearing for the Case

Arthur F. Mathews, with whom David M. Becker, Andrew B. Weissman, David D. Rosskam and Karen A. Getman, Washington, D.C., were on the brief, for petitioner Blinder, Robinson & Co., Inc.

Nathan Lewin, with whom Jonathan B. Sallet and Mary L. Lyons, Washington, D.C., were on the brief, for petitioner Meyer Blinder.

Jacob H. Stillman, Associate General Counsel, and Rosalind C. Cohen, Asst. General Counsel, S.E.C., with whom Daniel L. Goelzer, General Counsel, Paul Gonson, Sol., and Thomas L. Riesenberg, Senior Special Counsel, S.E.C., Washington, D.C., were on the brief, for respondent.

Before RUTH BADER GINSBURG and STARR, Circuit Judges, and GESELL, District Judge, United States District Court for the District of Columbia.


Opinion for the Court filed by Circuit Judge STARR.

Concurring opinion filed by Circuit Judge RUTH BADER GINSBURG.

STARR, Circuit Judge:

These petitions for review challenge an order by the Securities and Exchange Commission imposing sanctions on a registered broker-dealer and its president and principal shareholder. The petitioners advance a number of contentions, both constitutional and nonconstitutional in nature. For the reasons that follow, we...

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