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SHELDON v. S.E.C.

No. 93-4055.

45 F.3d 1515 (1995)

Donald T. SHELDON, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eleventh Circuit.

February 24, 1995.

Attorney(s) appearing for the Case

Donald T. Sheldon, pro se.

Jacob H. Stillman, Susan S. McDonald, Lucinda O. McConathy, S.E.C., Office of General Counsel, Washington, DC, for respondent.

Before CARNES, Circuit Judge, and DYER and GUY, Senior Circuit Judges.

CARNES, Circuit Judge:

After a de novo review of proceedings before an Administrative Law Judge ("ALJ"), the Securities and Exchange Commission found that Donald T. Sheldon, the former president of two securities brokerdealer firms, had violated federal securities laws and regulations and had failed to supervise adequately his firms, which resulted in securities violations by other individuals. As a result, the SEC...

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