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McCURDY v. S.E.C.

No. 04-1047.

396 F.3d 1258 (2005)

James Thomas McCURDY, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent

United States Court of Appeals, District of Columbia Circuit.

Decided February 8, 2005.

Attorney(s) appearing for the Case

Charles M. Carberry argued the cause and filed the briefs for petitioner.

Michael A. Conley, Senior Special Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Giovanni P. Prezioso, General Counsel, and Eric Summergrad, Deputy Solicitor. Mark R. Pennington, Assistant General Counsel, entered an appearance.

Before: EDWARDS, SENTELLE, and RANDOLPH, Circuit Judges.

Opinion for the Court filed by Circuit Judge RANDOLPH.

RANDOLPH, Circuit Judge.

The Securities and Exchange Commission suspended James T. McCurdy for one year after finding that he recklessly departed from generally accepted auditing standards ("GAAS") in his audit of a mutual fund's 1998 financial statements. The case centered on the treatment of a single receivable on the balance sheet of JWB Aggressive Growth Fund, a diversified, open-end management investment...

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