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VERNAZZA v. S.E.C.

Nos. 01-71857, 02-70016.

327 F.3d 851 (2003)

Jerome B. VERNAZZA, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. IMS/CPAS & Associates; Vernon T. Hall; Stanley E. Hargrave, Petitioners, v. Securities and Exchange Commission, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed April 24, 2003.

Attorney(s) appearing for the Case

Sheldon M. Jaffe, Los Angeles, CA, for petitioner Jerome B. Vernazza.

Thomas D. Giachetti, Princeton, NJ, and Ashleigh C. Swayze, Stark & Stark, PC, Lawrenceville, NJ, for petitioners IMS/ CPAs & Associates, Vernon T. Hall, and Stanley E. Hargrave.

Eric Summergrad, Deputy Solicitor, and Mark Pennington, Assistant General Counsel, Securities and Exchange Commission, Washington, DC, for the respondent.

Before D.W. NELSON, WARDLAW and FISHER, Circuit Judges.

D.W. NELSON, Senior Circuit Judge.

Petitioners Jerome B. Vernazza, Vernon T. Hall, Stanley E. Hargrave, and IMS/ CPAs & Associates ("IMS") seek review of an order of the Securities and Exchange Commission ("Commission") imposing sanctions for violations of several antifraud provisions of the securities laws. The Commission determined that the petitioners, who are investment advisers or persons associated with advisers, knowingly or recklessly made materially false...

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