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HINKLE NORTHWEST, INC. v. S. E. C.

No. 79-7005.

641 F.2d 1304 (1981)

HINKLE NORTHWEST, INC., Ernest F. Hinkle, Kenneth T. LaMear and Dennis B. Reiter, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Decided April 9, 1981.

Attorney(s) appearing for the Case

Norman J. Wiener, R. Alan Wight, Miller, Anderson, Nash, Yerke & Wiener, Portland, Or., on brief; James N. Westwood, Portland, Or., for petitioners.

Michael K. Wolensky, Asst. Gen. Counsel, Washington, D.C., for respondent.

Before CHOY, FERGUSON and REINHARDT, Circuit Judges.

FERGUSON, Circuit Judge:

Petitioners seek review of a suspension order of the Securities and Exchange Commission ("SEC") following a finding that they willfully violated recordkeeping, reporting, and financial-responsibility rules. We find that petitioners were correctly determined to be owners of the securities in issue, that the SEC was not collaterally estopped from so asserting, and that the sanctions imposed were justifiable...

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