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S.E.C. v. MOHN

No. 05-1762.

465 F.3d 647 (2006)

SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Keith L. MOHN, Defendant-Appellant.

United States Court of Appeals, Sixth Circuit.

Decided and Filed: October 12, 2006.

Attorney(s) appearing for the Case

ARGUED: Jack J. Mazzara, The Mazzara Law Firm, Grosse Pointe Woods, Michigan, for Appellant. Thomas J. Karr, Securities and Exchange Commission, Washington, D.C., for Appellee. ON BRIEF: Jack J. Mazzara, Lanalee C. Farmer, The Mazzara Law Firm, Grosse Pointe Woods, Michigan, for Appellant. Thomas J. Karr, Kathleen Cody, Securities and Exchange Commission, Washington, D.C., for Appellee.

Before SILER, CLAY, and BALDOCK, Circuit Judges.

OPINION

CLAY, Circuit Judge.

Defendant, Keith L. Mohn, appeals a district court order granting the application of Plaintiff Securities and Exchange Commission ("SEC") for enforcement of its order affirming sanctions levied against Defendant by the National Association of Securities Dealers ("NASD"), pursuant to the Securities and Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78a et seq. The district court found that Exchange Act § 21...

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