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PAZ SECURITIES, INC. v. S.E.C.

No. 08-1188.

566 F.3d 1172 (2009)

PAZ SECURITIES, INC. and Joseph Mizrachi, Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided May 29, 2009.

Attorney(s) appearing for the Case

David Clarke Jr. argued the cause and filed the briefs for petitioners.

Rada Lynn Potts, Senior Litigation Counsel, Securities & Exchange Commission, argued the cause for respondent. With her on the brief were Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Michael A. Conley, Senior Special Counsel.

Opinion for the Court filed by Circuit Judge GINSBURG.

GINSBURG, Circuit Judge:

PAZ Securities, Inc. and its president, Joseph Mizrachi, petition for review of an order of the Securities and Exchange Commission sustaining sanctions imposed upon them by the National Association of Securities Dealers (NASD).* Because the Commission did not abuse its discretion, we deny the petition.

I. Background

The facts underlying the petition are detailed in our earlier opinion and we review...

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