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SEGHERS v. S.E.C.

No. 07-1478.

548 F.3d 129 (2008)

Conrad P. SEGHERS, Petitioner v. SECURITIES and EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided November 21, 2008.

Attorney(s) appearing for the Case

Charles B. Manuel, Jr. argued the cause for the petitioner. Shira Y. Rosenfeld was on brief.

Christopher Paik, Special Counsel, Securities and Exchange Commission, argued the cause for the respondent. Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, and Jacob H. Stillman, Solicitor, were on brief. Leslie E. Smith, Senior Litigation Counsel, entered an appearance.

Opinion for the court filed by Circuit Judge HENDERSON.

KAREN LECRAFT HENDERSON, Circuit Judge:

Conrad Seghers petitions for review of the order of the Securities and Exchange Commission (SEC or Commission) barring him from future association with any investment adviser based on his violation of section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a), section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), Rule 10b-5, 17 C.F.R. § 240.10b...

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