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C.E. CARLSON, INC. v. S.E.C.

No. 86-2637.

859 F.2d 1429 (1988)

C.E. CARLSON, INC. and Charles E. Carlson, Petitioners, v. SECURITIES EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

Opinion and Denial of Rehearing November 7, 1988.

Attorney(s) appearing for the Case

Richard F. Thurston, Denver, Colo., for petitioners.

Ruth E. Eisenberg, Sr. Sp. Atty., Securities and Exchange Commission (SEC), Washington, D.C. (Paul Gonson, Sol., Washington, D.C., Daniel L. Goelzer, Gen. Counsel, Benjamin Greenspoon, Associate Gen. Counsel, Robert H. Rosenblum, Atty., SEC, Washington, D.C., with her on the brief), for respondent.

Before MCKAY and BALDOCK, Circuit Judges, and O'CONNOR, District Judge.

BALDOCK, Circuit Judge.

Petitioner C.E. Carlson, Inc., is a registered securities broker-dealer, and petitioner Charles E. Carlson, is a registered broker and president of C.E. Carlson, Inc. The Securities and Exchange Commission (SEC) imposed sanctions on petitioners based on their activities in closing a public offering of common stock. Petitioners were unable to sell the minimum number of shares required by the prospectus to close the offering. They then attempted...

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