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EDWARD J. MAWOD & CO. v. SECURITIES & EXCH. COM'N

No. 77-1495.

591 F.2d 588 (1979)

EDWARD J. MAWOD & COMPANY and Edward J. Mawod, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

Decided January 24, 1979.

Attorney(s) appearing for the Case

Richard J. Leedy, Salt Lake City, Utah, for petitioners-appellants.

Michael K. Wolensky, Asst. Gen. Counsel, Securities and Exchange Commission, Washington, D. C. (Harvey L. Pitt, Gen. Counsel, Paul Gonson, Associate Gen. Counsel and Willie M. Alexander, Atty., Securities and Exchange Commission, Washington, D. C., on brief), for respondent-appellee.

Before HOLLOWAY and DOYLE, Circuit Judges, and STANLEY, Senior District Judge.

WILLIAM E. DOYLE, Circuit Judge.

The appellants consist of Edward J. Mawod and Company together with Edward J. Mawod, individually, who was a principal of the Mawod brokerage firm. The cause is here on a petition for review of an order of the Securities and Exchange Commission issued May 6, 1977, which order suspended Mawod from association with any broker or dealer for one year and which revoked the broker-dealer registration of Mawod and Company. The request of...

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