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S.E.C. v. McCARTHY

No. 02-55201.

322 F.3d 650 (2003)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Kevin Michael McCARTHY; Thomas William Blodgett, Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed March 3, 2003.

Attorney(s) appearing for the Case

Gregory Sherwin, Fields, Fehn & Sherwin, Los Angeles, CA, for the defendants-appellants.

Thomas Karr, Special Trial Counsel, United States Securities and Exchange Commission, Washington, DC, for the plaintiff-appellee.

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

OPINION

D.W. NELSON, Senior Circuit Judge.

Kevin McCarthy and Thomas Blodgett appeal the district court's order granting the Application of the United States Securities and Exchange Commission (the "Commission") seeking enforcement of a Commission order. The Commission affirmed a disciplinary decision of the National Association of Securities Dealers ("NASD"), fining McCarthy and Blodgett $48,892.37 and $50,453.33 respectively. Appellants appeal on the grounds...

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