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EVEREST SECURITIES, INC. v. S.E.C.

Nos. 96-3293, 96-3737.

116 F.3d 1235 (1997)

EVEREST SECURITIES, INC.; Jeanne Alyce Kunkel, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. Jeanne Alyce KUNKEL, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Eighth Circuit.

Decided June 26, 1997.

Attorney(s) appearing for the Case

Stephen P. Laitinen, Minneapolis, MN, argued (Michael C. Mahoney, on the brief), for petitioner in case number 96-3293.

Susan K. Straus, Washington, DC, argued (Richard H. Walker, Eric Summergrad, Susan Ferris Wyderko, on the brief), for respondent.

Jeanne Alyce Kunkel, pro se, in case number 96-3737.

Before WOLLMAN and BEAM, Circuit Judges, and LAUGHREY, District Judge.

WOLLMAN, Circuit Judge.

Everest Securities, Inc. (Everest) and Jeanne Alyce Kunkel petition for review of a Securities and Exchange Commission (Commission) order affirming disciplinary action taken against Everest and Kunkel by the National Association of Securities Dealers, Inc. (NASD) for violating Article III, Sections 1, 18, and 21 of the NASD's Rules of Fair Practice (Rules). We affirm in part and vacate in part.

I.

Everest is a general securities...

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