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McCARTHY v. S.E.C.

Docket No. 03-40977.

406 F.3d 179 (2005)

Edward John MCCARTHY, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided April 26, 2005.

Attorney(s) appearing for the Case

George Brunelle, New York, New York (Suzanne E. Auletta, Brunelle & Hadjikow, P.C., New York, New York, of counsel), for Petitioner.

Michael A. Conley, Washington, D.C. (Giovanni P. Prezioso, Eric Summergrad, Mark Pennington, Meyer Eisenberg, Securities and Exchange Commission, Washington, D.C., of counsel), for Respondent.

Before: CARDAMONE, POOLER, and WESLEY, Circuit Judges.

CARDAMONE, Circuit Judge.

Congress passed the Securities Exchange Act of 1934(Act) so that investors might have confidence in the integrity of floor traders operating on the New York Stock Exchange (N.Y.SE or Stock Exchange), who by virtue of their position enjoy advantages that the investing public does not. This appeal brings before us a conviction against a floor broker for violating various provisions of the Act and its related regulations. Insofar as the broker...

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