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GRAHAM v. S.E.C.

No. 99-1029.

222 F.3d 994 (2000)

Sharon M. GRAHAM and Stephen C. Voss, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided August 18, 2000.

Attorney(s) appearing for the Case

Ida Wurczinger Draim argued the cause and filed the briefs for petitioners.

Susan S. McDonald, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With her on the brief were David M. Becker, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Robert C. Stacy, II, Attorney.

Before: GINSBURG, TATEL, and GARLAND, Circuit Judges.

Opinion for the Court filed by Circuit Judge GARLAND.

GARLAND, Circuit Judge:

Sharon Graham and Stephen Voss petition for review of an order of the Securities and Exchange Commission (SEC) sanctioning them for conduct relating to trades executed for their customer, John Broumas. The Commission found that Graham, a registered representative with Voss' brokerage firm, violated section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder...

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