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SIRIANNI v. UNITED STATES SEC. AND EXCHANGE COM'N

No. 80-7586.

677 F.2d 1284 (1982)

Philip S. SIRIANNI, Petitioner, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Decided May 24, 1982.

Attorney(s) appearing for the Case

Joseph G. Riemer, III, Brown, Wood, Ivey, Mitchell & Petty, New York City, for petitioner.

Michael J. Stewart, S.E.C., Washington, D. C., argued, for respondent; Jacob H. Stillman, Securities & Exchange Comm., Washington, D. C., on brief.

Before MERRILL, KENNEDY and CANBY, Circuit Judges.

MERRILL, Circuit Judge:

Petitioner Sirianni seeks review of a decision and order of the Securities and Exchange Commission (SEC) affirming disciplinary action taken against him by the National Association of Securities Dealers, Inc. (NASD).

NASD is a national securities association registered with SEC under Section 15A of the Securities Exchange Act of 1934 (the Exchange Act), 15 U.S.C. § 78o-3(a). It is composed of firms who sell securities in...

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