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LOWELL H. LISTROM & CO. v. S.E.C.

No. 86-1130.

803 F.2d 938 (1986)

LOWELL H. LISTROM & COMPANY, INC., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eighth Circuit.

Decided October 21, 1986.

Attorney(s) appearing for the Case

Wesley R. Jennings, Kansas City, Mo., for petitioner.

Martha H. McNeeley, Washington, D.C., for respondent.

Before ARNOLD, Circuit Judge, BRIGHT, Senior Circuit Judge, and FAGG, Circuit Judge.

FAGG, Circuit Judge.

Lowell Listrom & Company (Listrom) petitions for review of two portions of a Securities and Exchange Commission (SEC) order affirming disciplinary action taken against Listrom by the National Association of Securities Dealers (NASD). Listrom was censured and fined in connection with three public securities offerings for violating recordkeeping and sales confirmation requirements and for extending credit to its customers in two of the offerings...

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