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PAZ SECURITIES, INC. v. S.E.C.

No. 05-1467.

494 F.3d 1059 (2007)

PAZ SECURITIES, INC. and Joseph Mizrachi, Petitioners v. SECURITIES and EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided July 20, 2007.

Attorney(s) appearing for the Case

David Clarke, Jr. argued the cause for petitioners. With him on the briefs was Deborah R. Meshulam.

Michael A. Conley, Senior Special Counsel, argued the cause for respondent. With him on the brief were Brian G. Cartwright, General Counsel, Jacob H. Stillman, Solicitor, and Susan K. Straus, Attorney.

Before: GINSBURG, Chief Judge, and ROGERS and KAVANAUGH, Circuit Judges.

Opinion for the Court by Chief Judge GINSBURG.

GINSBURG, Chief Judge:

PAZ Securities, Inc. and its president, Joseph Mizrachi, petition for review of an order of the Securities and Exchange Commission sustaining the decision of the National Association of Securities Dealers to expel PAZ from membership and to bar Mizrachi from ever associating with any NASD member firm as sanctions for Mizrachi's failure to respond...

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