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STOIBER v. S.E.C.

No. 98-1062.

161 F.3d 745 (1998)

Gerald J. STOIBER, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided December 8, 1998.

Attorney(s) appearing for the Case

Thomas D. Birge argued the cause and filed the briefs for petitioner.

Randall W. Quinn, Assistant General Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Jacob H. Stillman, Associate General Counsel, and Paul Gonson, Solicitor. Susan K. Straus, Attorney, entered an appearance.

Before: WALD, WILLIAMS and HENDERSON, Circuit Judges.

Opinion for the Court filed by Circuit Judge WALD.

WALD, Circuit Judge:

Petitioner Gerald Stoiber is an Illinois broker associated with American Investment Services, Inc. ("AIS"). AIS is a member of the National Association of Securities Dealers, Inc. ("NASD"), a self-regulatory organization in the securities field. Stoiber borrowed a total of $495,000 from his customers, gave the lenders promissory notes in exchange, and used most of the money to invest ...

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