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STUART-JAMES CO., INC. v. S.E.C.

No. 87-1402.

857 F.2d 796 (1988)

STUART-JAMES COMPANY, INC., and Marc N. Geman, Petitioners, v. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided September 20, 1988.

Attorney(s) appearing for the Case

Donald T. Trinen, with whom Christa D. Taylor was on the brief, for petitioners. Ralph V. DeMartino also entered an appearance for petitioners.

Lucinda O. McConathy, Sp. Counsel, S.E.C., with whom Daniel L. Goelzer, Gen. Counsel, Jacob H. Stillman, Associate Gen. Counsel, Paul Gonson, Sol., and Batya Roth, Atty., S.E.C., were on the brief, for respondent.

Before MIKVA, and D. H. GINSBURG, Circuit Judges and JACKSON, District Judge.

Opinion for the Court filed by Circuit Judge MIKVA.

MIKVA, Circuit Judge:

The Stuart-James Company is a securities broker-dealer. Marc N. Geman is its executive vice-president. They petition for review of an order of the Securities and Exchange Commission ("Commission" or "SEC") affirming a decision of the National Association of Securities Dealers ("NASD") censuring them and imposing a $500 fine for violating the Commission's net capital rule. Stuart-James...

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