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ORKIN v. S.E.C.

No. 93-4415.

31 F.3d 1056 (1994)

Robert Bruce ORKIN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eleventh Circuit.

September 13, 1994.

Attorney(s) appearing for the Case

William Nortman, Nortman & Bloom, P.A., Mark Richard Dern, Miami, FL, for petitioner.

Securities & Exchange Com'n, Office of the Gen. Counsel, Jacob H. Stillman, Leslie E. Smith, Christopher Paik, Eric Summergrad, Securities & Exchange Com'n, Washington, DC, for respondent.

Before HATCHETT and EDMONDSON, Circuit Judges, and MELTON, Senior District Judge.

MELTON, Senior District Judge:

Petitioner, Robert Bruce Orkin ("Orkin"), seeks review of an order of the Securities and Exchange Commission ("SEC") affirming disciplinary sanctions imposed by the National Association of Securities Dealers, Inc. ("NASD").1 The NASD sanctioned Orkin for violations of Article III, Sections 1 and 4 of the NASD's Rules of Fair Practice ("Rules"). Specifically, the NASD and the SEC found that Orkin breached...

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