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ROTH v. S.E.C.

No. 92-1557.

22 F.3d 1108 (1994)

Charles A. ROTH, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided March 16, 1994.

Rehearing Denied June 2, 1994.

Attorney(s) appearing for the Case

Gene R. Thornton, Denver, CO, argued the cause and filed the briefs for petitioner.

Lucinda O. McConathy, Asst. Gen. Counsel, Securities and Exchange Com'n, Washington, DC, argued the cause for respondent. With her on the brief were Paul Gonson, Sol., Jacob H. Stillman, Associate Gen. Counsel, and Susan K. Straus, Atty., Securities and Exchange Com'n.

Before SILBERMAN, SENTELLE, and HENDERSON, Circuit Judges.

Opinion for the Court filed by Circuit Judge SENTELLE.

SENTELLE, Circuit Judge:

Petitioner Charles Roth seeks review of an order of the Securities and Exchange Commission ("SEC" or "Commission"), partially affirming final disciplinary action by the National Association of Securities Dealers ("NASD"). For the reasons set forth below, we deny the petition for review in all respects.

In 1988 the NASD began disciplinary proceedings against Roth, who was...

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