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SORRELL v. SECURITIES AND EXCHANGE COM'N

No. 81-7334.

679 F.2d 1323 (1982)

Ronald G. SORRELL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent,

United States Court of Appeals, Ninth Circuit.

Decided June 24, 1982.

Attorney(s) appearing for the Case

Lawrence I. Weisman, Towson, Md., for petitioner.

Gen. Counsel, S. E. C., Washington, D. C., for respondent.

Before BROWNING, WRIGHT, and TRASK, Circuit Judges.

EUGENE A. WRIGHT, Circuit Judge:

Sorrell petitions us to reverse sanctions imposed upon him by the National Association of Securities Dealers (NASD), and affirmed but reduced by the Securities and Exchange Commission. We must determine whether the record offers adequate support for the conclusions of the SEC.

The NASD charged Sorrell with selling unregistered securities and failing to notify his employer, Cochrane & Co., of such sales. Cochrane & Co...

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