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FALCON TRADING GROUP, LTD. v. S.E.C.

No. 96-1052.

102 F.3d 579 (1996)

FALCON TRADING GROUP, LTD. and Glen T. Vittor, Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided December 20, 1996.

Attorney(s) appearing for the Case

Thomas J. McGonigle, Washington, DC, argued the cause for the petitioners. Wallace L. Timmeny and Erica S. Palim, Washington, DC, were on brief.

Jacob H. Stillman, Associate General Counsel, Securities and Exchange Commission, Washington, DC, argued the cause for the respondent. Paul Gonson, Solicitor, Richard H. Walker, General Counsel, Randall W. Quinn, Senior Litigation Counsel, and Allan A. Capute, Special Counsel to the Solicitor, were on brief. Leslie E. Smith, Senior Litigation Counsel, Washington, DC, entered an appearance.

Before: EDWARDS, Chief Judge, SILBERMAN and HENDERSON, Circuit Judges.

Opinion for the court filed by Circuit Judge HENDERSON.

KAREN LeCRAFT HENDERSON, Circuit Judge:

The petitioners challenge a decision of the Securities and Exchange Commission (SEC or Commission) imposing sanctions on them for violating the Rules of Fair Practice (Rules) of the National Association of Securities Dealers (NASD). Both petitioners contend that (1) they were deprived of their right to counsel because their...

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