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HOWARD v. S.E.C.

No. 03-1098.

376 F.3d 1136 (2004)

Nicholas P. HOWARD, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided July 30, 2004.

Attorney(s) appearing for the Case

Paul Gonson argued the cause for petitioner. With him on the briefs were Charles R. Mills, David S. Versfelt, and Mary T. Ambron.

Randall W. Quinn, Assistant General Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Giovanni P. Prezioso, General Counsel, Meyer Eisenberg, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Rada Lynn Potts, Senior Litigation Counsel.

Before: HENDERSON, RANDOLPH, and ROGERS, Circuit Judges.

Opinion for the Court filed by Circuit Judge RANDOLPH.

Opinion concurring in the judgment filed by Circuit Judge HENDERSON.

RANDOLPH, Circuit Judge:

Nicholas P. Howard petitions for review of a Securities and Exchange Commission order imposing sanctions on him for aiding and abetting alleged securities laws violations committed in the course of closing two private placement offerings of common stock in 1991 and 1992. The SEC's opinion holding Howard...

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