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WHITESIDE AND CO., INC. v. S.E.C.

No. 88-4921 Summary Calendar.

883 F.2d 7 (1989)

WHITESIDE AND CO., INC. and William H. Whiteside, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Fifth Circuit.

July 24, 1989.

Attorney(s) appearing for the Case

William H. Whiteside (ProSe) Lubbock, Tex., for petitioners.

Richard A. Kirby, Daniel Goelzer, General Counsel, Thomas C. Riesenberg, Robert L. McCloskey, S.E.C. Washington, D.C., for respondent.

Petition for Review of an Order of the Securities and Exchange Commission.

Before GEE, WILLIAMS, and HIGGINBOTHAM, Circuit Judges.

PER CURIAM:

Petitioner Whiteside & Company, a broker-dealer firm, and its president, petitioner William Whiteside, seek judicial review of a Securities and Exchange Commission order under 15 U.S.C. § 78y(a)(1). The SEC, after de novo review, affirmed disciplinary sanctions imposed by the National Association of Securities Dealers, agreeing that petitioners had violated the SEC's net capital regulations on four...

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