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WHITNEY v. S.E.C.

No. 78-1326.

604 F.2d 676 (1979)

Stanton L. WHITNEY, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 28, 1979.

Attorney(s) appearing for the Case

Steven B. Duke, for petitioner.

Michael J. Connell, Sp. Counsel, Securities and Exchange Commission, Washington, D.C., with whom Harvey L. Pitt, Gen. Counsel, Paul Gonson, Associate Gen. Counsel, and Jacob H. Stillman, Principal Asst. Gen. Counsel, Securities and Exchange Commission, Washington, D.C., were on the brief, for respondent.

Also Michael K. Wolensky and Elisse B. Walter, Counsel, Securities and Exchange Commission, Washington, D.C., entered appearances, for respondent.

Before TAMM and WILKEY, Circuit Judges, and CORCORAN, Senior District Judge.

Opinion for the Court filed by WILKEY, Circuit Judge.

WILKEY, Circuit Judge:

Petitioner seeks review of an order of the Securities Exchange Commission suspending him for nine months from association with any broker or dealer in securities.1 The Commission based its order on findings that petitioner had willfully violated provisions of the Securities Exchange Act of 19342 by engaging in fraudulent conduct...

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