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DIRKS v. S.E.C.

No. 85-1475.

802 F.2d 1468 (1986)

Raymond DIRKS, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided October 10, 1986.

Attorney(s) appearing for the Case

Marc Bogatin, with whom Stanley S. Arkin, New York City, was on the brief, for petitioner.

Linda Fienberg, Associate Gen. Counsel, S.E.C., with whom Daniel L. Goelzer, Gen. Counsel, Larry R. Lavoie, Asst. Gen. Counsel and Paul Gonson, Sol., S.E.C., Washington, D.C., were on the brief, for respondent.

Before EDWARDS, GINSBURG and STARR, Circuit Judges.

Opinion for the court filed by Circuit Judge STARR.

STARR, Circuit Judge:

This is a petition for review of the Securities and Exchange Commission's imposition of a six-month suspension sanction on Raymond Dirks, a brokerage firm principal, pursuant to section 14(b) of the Securities Investor Protection Act. The issues presented are (1) whether section 14(b) is unconstitutionally vague, and (2) if the statute passes constitutional muster, whether the SEC's...

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