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GENERAL BOND & SHARE CO. v. S.E.C.

No. 93-9545.

39 F.3d 1451 (1994)

GENERAL BOND & SHARE CO., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

October 27, 1994.

Attorney(s) appearing for the Case

John Henry Schlie of Cross, Schlie & Heckenback, P.C., Englewood, CO., for petitioner.

Randall W. Quinn, Sr. Litigation Counsel, S.E.C., Washington, DC (Simon M. Lorne, Gen. Counsel, Eric Summergrad, Principal Asst. Gen. Counsel, and Angel Yang, Attorney, with him on the briefs) for respondent.

Before BRORBY and McWILLIAMS, Circuit Judges, and BROWN, District Judge.

WESLEY E. BROWN, District Judge.

Petitioner General Bond & Share Company ("General Bond") seeks review of disciplinary action taken against it by the Securities and Exchange Commission (hereinafter "the Commission" or "SEC"). The Commission found that General Bond violated several Rules of Fair Practice of the National Association of Securities Dealers, Inc. ("NASD"), of which General Bond was a member. Specifically,...

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