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KPMG, LLP v. S.E.C.

No. 01-1131.

289 F.3d 109 (2002)

KPMG, LLP, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided May 14, 2002.

Rehearing and Rehearing Denied July 16, 2002.

Attorney(s) appearing for the Case

Michael P. Carroll argued the cause for petitioner. With him on the brief were Ronald S. Flagg and Joseph R. Guerra.

Louis A. Craco, Jr. argued the cause and filed the brief for amicus curiae American Institute of Certified Public Accountants in support of petitioner.

Rada Lynn Potts, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With her on the brief were David M. Becker, General Counsel, Jacob H. Stillman, Solicitor, and Michael A. Conley, Attorney.

Before: HENDERSON, RANDOLPH and ROGERS, Circuit Judges.

Rehearing and Rehearing En Banc Denied July 16, 2002.

Opinion for the Court filed by Circuit Judge ROGERS.

Dissenting opinion filed by Circuit Judge RANDOLPH.

ROGERS, Circuit Judge:

KPMG, LLP (formerly KPMG Peat Markwick, LLP) challenges a cease-and-desist order entered by the Securities and Exchange Commission, pursuant to Section 21C(a) of the Securities Exchange Act ("Exchange Act"), 15 U.S.C. § 78u-3(a), on the basis of several violations...

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