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McNABB v. S.E.C.

No. 00-71528.

298 F.3d 1126 (2002)

Robin Bruce McNABB, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed August 12, 2002.

Attorney(s) appearing for the Case

Thomas B. Kidwell, San Jose, CA, for the petitioner.

Nathan A. Forrester, Senior Counsel, and Randall W. Quinn, Assistant General Counsel, Securities and Exchange Commission, Washington, DC, for the respondent.

Before: REINHARDT, MAGILL, and FISHER, Circuit Judges.

OPINION

MAGILL, Circuit Judge.

This case involves two issues arising out of a disciplinary proceeding brought by the National Association of Securities Dealers, Inc. (the "NASD") against appellant, Robin Bruce McNabb. First, McNabb appeals the Securities and Exchange Commission's (the "Commission") final order, issued October 4, 2000, which found that certain promissory notes were securities under section...

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