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POTTS v. S.E.C.

No. 97-3710.

151 F.3d 810 (1998)

Robert D. POTTS, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent, American Institute of Certified Public Accountants, Amicus Curiae.

United States Court of Appeals, Eighth Circuit.

Decided August 4, 1998.

Rehearing and Suggestion for Rehearing Denied September 30, 1998.

Attorney(s) appearing for the Case

Robert E. Woods, Minneapolis, MN, argued (J. Patrick McDavitt and Scott G. Knudson, on the brief), for Petitioner.

Mark Pennington, Washington, DC, argued (Richard H. Walker and Jacob H. Stillman, on the brief), for Respondent.

Before FAGG, BRIGHT, and BEAM, Circuit Judges.

Rehearing and Suggestion for Rehearing En Banc Denied September 30, 1998.

FAGG, Circuit Judge.

Robert D. Potts petitions for review of an order of the Securities and Exchange Commission (SEC or the Commission) sustaining the 1994 finding of an administrative law judge (ALJ) that Potts had engaged in improper professional conduct in violation of SEC Rule 2(e)(1). See 17 C.F.R. § 201.2(e)(1)(ii) (1993)....

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