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HEATH v. S.E.C.

Docket No. 09-0825-ag.

586 F.3d 122 (2009)

Thomas W. HEATH III, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided: November 4, 2009.

Attorney(s) appearing for the Case

Gary P. Naftalis (on the brief, Michael S. Oberman, Alan R. Friedman, Joel M. Taylor, Michael B. Eisenkraft), Kramer Levin Naftalis & Frankel, LLP, New York, NY, for Petitioner.

Dominick V. Freda, Senior Counsel for the Securities and Exchange Commission (on the brief, David M. Becker, General Counsel, Mark D. Cahn, Deputy General Counsel, Jacob H. Stillman, Solicitor, Randall W. Quinn, Assistant General Counsel), Washington, D.C., for Respondent.

Before: STRAUB and WESLEY, Circuit Judges and GARDEPHE, District Judge.

STRAUB, Circuit Judge:

Petitioner Thomas W. Heath III appeals from the Opinion and Order of the Securities and Exchange Commission ("SEC"), affirming the New York Stock Exchange LLC's1 ("NYSE") finding that Petitioner violated NYSE Rule 476(a)(6) by disclosing a client's confidential information to a third party.2 Rule 476(a)(6) — the so-called "J & E Rule" — subjects registered members to...

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