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EICHLER v. S.E.C.

No. 84-7236.

757 F.2d 1066 (1985)

Peter EICHLER and Basil Witt, Petitioners, v. The SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Decided April 12, 1985.

Attorney(s) appearing for the Case

Craig B. Jorgensen, Los Angeles, Cal., for petitioners.

Eric Summergrad, Washington, D.C., for respondent.

Before CHAMBERS, BOOCHEVER and BEEZER, Circuit Judges.

BEEZER, Circuit Judge:

Peter Eichler and Basil Witt brought this action seeking review of an order issued by the Securities and Exchange Commission ("SEC"). The SEC's order affirmed disciplinary sanctions imposed upon Eichler and Witt by the National Association of Securities Dealers, Inc. ("NASD"). We affirm.

I

BACKGROUND

Bateman Eichler, Hill Richards, Inc. ("BEHR") is registered as a broker-dealer with the SEC and is a member of NASD...

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