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OTTO v. S.E.C.

No. 00-3897.

253 F.3d 960 (2001)

Kevin Lee OTTO, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Seventh Circuit.

Decided June 12, 2001.

Attorney(s) appearing for the Case

James A. Bolt (argued), New Berlin, WI, for petitioner.

Randall W. Quinn (argued), Susan Strauss, Securities & Exchange Commission, Office of the General Counsel, Washington, DC, for respondent.

Before FAIRCHILD, CUDAHY, and COFFEY, Circuit Judges.

COFFEY, Circuit Judge.

On September 15, 2000, the Securities and Exchange Commission ("SEC" or "Commission") issued an order pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 78s(d)(1), affirming disciplinary action taken by the National Association of Securities Dealers, Inc. ("NASD") against Kevin Otto. Otto, a securities salesman associated with an NASD member firm at the time of the misconduct charged, seeks review of the SEC order pursuant to...

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