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GEMAN v. S.E.C.

No. 01-9512.

334 F.3d 1183 (2003)

Marc N. GEMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

July 7, 2003.

Attorney(s) appearing for the Case

Donald T. Trinen, Esq., Hart & Trinen, LLP of Denver, Colorado, Attorneys for Petitioner.

Leslie E. Smith, Senior Litigation Counsel (Meyer Eisenberg, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Kermit B. Kennedy, Special Counsel, with her on the brief), Securities and Exchange Commission, Washington, D.C., Attorneys for Respondent.

Before BRISCOE, HOLLOWAY and MURPHY, Circuit Judges.

On Petition For Review Of A Final Decision Of Teh Securities And Exchange Commission (No. 3-9032)

HOLLOWAY, Circuit Judge.

I

A. Overview and Basis for Jurisdiction

Mr. Marc Geman brings a petition for review of a disciplinary order issued by the SEC. Mr. Geman was a registered broker-dealer and investment adviser; he was also the chief executive officer of a firm called Portfolio Management Consultants, Inc. (the firm...

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