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LEVINE v. S.E.C.

No. 04-1049.

407 F.3d 178 (2005)

David M. LEVINE, Triple J Partners, Inc., Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent

United States Court of Appeals, Third Circuit.

Filed May 10, 2005.

Attorney(s) appearing for the Case

Evan M. Levow, Esquire, Pamela Moore, Esquire, Levow & Costello, Cherry Hill, NJ, Counsel for Petitioners.

Giovanni P. Prezioso, General Counsel, Meyer Eisenberg, Deputy General Counsel, Eric Summergrad, Deputy Solicitor, Dominick V. Freda, Esquire, Securities & Exchange Commission, Washington, D.C., Counsel for Respondent.

Before: BARRY, AMBRO and COWEN, Circuit Judges.

Submitted Under Third Circuit LAR 34.1(a) April 4, 2005.

OPINION OF THE COURT

AMBRO, Circuit Judge.

David Levine and Triple J Partners (collectively "Levine") petition for review of the decision of the Securities and Exchange Commission ("SEC") sustaining (1) the determination of the New York Stock Exchange ("NYSE") that they had violated § 11(a) of the Securities Exchange Act of 1934 (hereinafter "Exchange Act") and SEC Rule 11a-1(a) (as well...

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