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JONES v. S.E.C.

No. 95-3119.

115 F.3d 1173 (1997)

Ivan D. JONES, Jr., Petitioner, v. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Fourth Circuit.

Decided June 16, 1997.

Attorney(s) appearing for the Case

ARGUED: Jonathan Drew Sasser, Moore & Van Allen, P.L.L.C., Raleigh, NC, for Petitioner. Susan Ferris Wyderko, Senior Litigation Counsel, Securities and Exchange Commission, Washington, DC, for Respondent. ON BRIEF: Jeffrey M. Young, Moore & Van Allen, P.L.L.C., Raleigh, NC, for Petitioner. Paul Gonson, Solicitor, Richard H. Walker, General Counsel, Eric Summergrad, Principal Assistant General Counsel, Catherine A. Broderick, Counsel to the Assistant General Counsel, Securities and Exchange Commission, Washington, DC, for Respondent.

Before MURNAGHAN, NIEMEYER, and MOTZ, Circuit Judges.

Affirmed by published opinion. Judge NIEMEYER wrote the opinion, in which Judge MURNAGHAN and Judge DIANA GRIBBON MOTZ joined.

OPINION

NIEMEYER, Circuit Judge:

Ivan D. Jones, Jr., a stockbroker, was censured, suspended briefly, and fined in October 1992 by the National Association of Securities Dealers ("NASD") for illegal conduct in connection with two private offerings and various "back room" violations. Approximately six months later, the Securities...

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