SEATON v. SECURITIES AND EXCHANGE COMMISSION

No. 79-2317.

670 F.2d 309 (1982)

Roy Ray SEATON, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided January 8, 1982.


Attorney(s) appearing for the Case

Alan H. Fein, Miami, Fla., for appellant. Marc M. Watson, Miami, Fla., also entered an appearance for appellant.

Richard A. Kirby, Sp. Counsel, Securities and Exchange Commission, Washington, D.C., with whom Jacob H. Stillman, Associate Gen. Counsel, Paul Gonson, Sol., Linda W. Otto, Sp. Counsel, Securities and Exchange Commission, were on the brief for respondent. William A. Dietch, Counsel, Securities and Exchange Commission, Washington, D.C., also entered an appearance for respondent.

Before GINSBURG, Circuit Judge, McGOWAN, Senior Circuit Judge, and JOYCE HENS GREEN, United States District Judge for the District of Columbia Circuit.


Opinion filed PER CURIAM.

PER CURIAM:

Petitioner, a registered representative with two member firms of the National Association of Securities Dealers, Inc. (NASD), seeks review of an order of the Securities and Exchange Commission (the Commission), affirming disciplinary sanctions taken against him by the NASD. The NASD found that on three occasions Seaton sold securities to customers without his employer's knowledge, and that he answered falsely certain questions...

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