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CROTHERS v. COMMODITY FUTURES TRADING COM'N

No. 93-1131.

33 F.3d 405 (1994)

William CROTHERS, Petitioner, v. COMMODITY FUTURES TRADING COMMISSION, Respondent.

United States Court of Appeals, Fourth Circuit.

Decided August 31, 1994.

Attorney(s) appearing for the Case

ARGUED: Michael L. Turner, Kelly, Jasons, McGuire & Spinelli, Philadelphia, PA, for petitioner. Glynn L. Mays, Sr. Asst. Gen. Counsel, Commodity Futures Trading Com'n, Washington, DC, for respondent. ON BRIEF: Samuel R. Kilgore, Kilgore & Lacey, Newland, NC; Michael H. McGee, Charlotte, NC, for petitioner. Pat G. Nicolette, Acting Gen. Counsel, Jay L. Witkin, Deputy Gen. Counsel, Commodity Futures Trading Com'n, Washington, DC, for respondent.

Before MURNAGHAN, Circuit Judge, SPROUSE, Senior Circuit Judge, and HARVEY, Senior United States District Judge for the District of Maryland, sitting by designation.

Petition denied by published opinion.

Senior Judge SPROUSE wrote the opinion, in which Judge MURNAGHAN and Senior Judge ALEXANDER HARVEY, II joined.

OPINION

SPROUSE, Senior Circuit Judge:

We review a Commodity Futures Trading Commission ("Commission") order imposing a $25,000 fine on William R. Crothers and revoking his registration as an "associated person."1 Crothers was an account executive for Interstate Securities...

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