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YOSHIKAWA v. S.E.C.

No. 98-70150.

192 F.3d 1209 (1999)

Terrance Y. YOSHIKAWA; Ko Securities, Inc., Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Decided August 20, 1999.

Attorney(s) appearing for the Case

Tolan S. Furusho, Bellevue, Washington, for petitioners.

Angel Yang, Office of General Counsel, Securities and Exchange Commission, Washington, D.C., for respondent.

Before: BEEZER, WIGGINS and KLEINFELD, Circuit Judges.

BEEZER, Circuit Judge:

Petitioners Terrance Yoshikawa and Ko Securities, Inc. (collectively, "Yoshikawa") appeal an order of the Securities and Exchange Commission ("SEC") holding that Yoshikawa violated Article III, Section 1 of the National Association of Securities Dealers ("NASD") Rules of Fair Practice.1 The SEC's order is founded on its factual finding that five discrete sets of securities transactions executed by Yoshikawa constitute...

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