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GOLD v. S.E.C.

No. 94-1915.

48 F.3d 987 (1995)

Alan H. GOLD, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Seventh Circuit.

Decided February 15, 1995.

Attorney(s) appearing for the Case

Dana A. Parisi, Neal H. Levin (argued), Levin & Associates, Chicago, IL, for petitioner.

Eric Summergrad, Brian F. McNally (argued), Jonathan G. Katz, Angel Lang, S.E.C., Office of the Gen. Counsel, Washington, DC, Simon Swidler, New York Stock Exchange, Inc. New York City, for respondent.

Before COFFEY, MANION, and KANNE, Circuit Judges.

COFFEY, Circuit Judge.

Petitioner Alan H. Gold seeks judicial review of an order of the Securities and Exchange Commission ("SEC") affirming disciplinary action taken against him by the New York Stock Exchange ("NYSE"). The issue raised in this appeal is whether Gold, who was formerly associated with a member firm of the NYSE,1 had a Fifth Amendment due process right to actual notice, rather than constructive notice, that the NYSE was...

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