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MILLER v. S.E.C.

No. 1252, Docket 92-4210.

998 F.2d 62 (1993)

Gerard A. MILLER, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided June 29, 1993.

Attorney(s) appearing for the Case

Daryl J. Hudson III, Washington, DC, for petitioner.

Randall W. Quinn, Sr. Litigation Counsel, S.E.C., Washington, DC (Paul Gonson, Sol., Jacob H. Stillman, Associate Gen. Counsel, Diane V. White, S.E.C., Washington, DC, of counsel), for respondent.

Before: MESKILL, Chief Judge, PRATT, Circuit Judge, and RESTANI, Judge.

MESKILL, Chief Judge:

This is a petition for review of a final order of the Securities and Exchange Commission (SEC) denying relief from a 1986 consent order issued by the SEC, Kidder, Peabody & Co., Exchange Act Release No. 22,871 [1985-1986 Transfer Binder] Fed.Sec.L.Rep. (CCH ¶ 83,963) (Feb. 6, 1986), censuring petitioner Gerard A. Miller for willfully aiding and abetting a brokerage firm's violations of section 15(c)(3) of the Securities Exchange...

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