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UPTON v. S.E.C.

No. 287, Docket 95-4044.

75 F.3d 92 (1996)

Kevin UPTON, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided January 18, 1996.

Attorney(s) appearing for the Case

Melvin A. Brosterman, New York City (Stroock & Stroock & Lavan, David Bolton, of counsel), for Petitioner.

Susan Ferris Wyderko, Senior Litigation Counsel, Securities and Exchange Commission, Washington, DC (Paul Gonson, Solicitor, Simon M. Lorne, General Counsel, Eric Summergrad, Principal Assistant General Counsel, Christopher Paik, Senior Counsel, of counsel), for Respondent.

Before: LUMBARD, WALKER, and CALABRESI, Circuit Judges.

LUMBARD, Circuit Judge:

Kevin Upton petitions for judicial review, pursuant to section 25(a)(1) of the Securities Exchange Act, 15 U.S.C. § 78y(a)(1), of an order of the Securities and Exchange Commission censuring him for failing reasonably to supervise a subordinate employee who aided and abetted a violation of Rule 15c3-3(e), the Commission's Customer Protection Rule. 17 C.F.R. § 240.15c3-3(e). The Rule is designed to prevent broker-dealers from using...

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