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KRULL v. S.E.C.

No. 99-70290.

248 F.3d 907 (2001)

Kenneth Craig KRULL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed April 26, 2001

Attorney(s) appearing for the Case

Frederick Davis Huebner, Cable, Langenbach, Kinerk & Bauer, LLP, Seattle, Washington, for the petitioner-appellant.

Allan A. Capute, Securities and Exchange Commission, Washington, D.C., for the respondent-appellee.

Before: M. MARGARET McKEOWN, WILLIAM A. FLETCHER, JOHNNIE B. RAWLINSON, Circuit Judges.

Argued and Submitted January 12, 2001 — Seattle, Washington

McKEOWN, Circuit Judge:

The outcome of this appeal from a disciplinary action involving a registered securities representative rests in large part on the standard of review. The National Association of Securities Dealers found violations of its Rules of Fair Practice regarding unsuitable switches in mutual fund investments and imposed a disciplinary sanction on a registered securities representative...

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