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AMATO v. S.E.C.

No. 93-4381.

18 F.3d 1281 (1994)

Robert A. AMATO, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Fifth Circuit.

April 20, 1994.

Attorney(s) appearing for the Case

James E. Stovall, Metairie, LA, for petitioner.

Katharine B. Gresham, Catherine A. Broderick, Washington, DC, for respondent.

Before HIGGINBOTHAM and DUHÉ, Circuit Judges, and STAGG, District Judge.

STAGG, District Judge.

Petitioner Amato seeks review of an order of the Securities and Exchange Commission ("SEC") affirming disciplinary action taken against him by the National Association of Securities Dealers, Inc. ("NASD"). Both the SEC and the NASD found that Amato had violated Article III, Sections 1 and 4 of the NASD's Rules of Fair Practice. Finding no error, we affirm.

FACTS.

Robert Amato was a retail salesman and the branch manager...

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