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HORNING v. S.E.C.

No. 08-1038.

570 F.3d 337 (2009)

Stephen J. HORNING, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 26, 2009.

Attorney(s) appearing for the Case

Thomas D. Birge argued the cause and filed the briefs for petitioner.

Dominick V. Freda, Senior Counsel, Securities & Exchange Commission, argued the cause for respondent. With him on the brief were Brian G. Cartwright, General Counsel, Andrew N. Vollmer, Deputy General Counsel, Jacob H. Stillman, Solicitor, and Randall W. Quinn, Assistant General Counsel.

Opinion for the Court filed by Circuit Judge GARLAND.

GARLAND, Circuit Judge.

Stephen J. Horning, the former president and director of Rocky Mountain Securities & Investments, petitions for review of an order of the Securities and Exchange Commission (SEC). The Commission found that Horning failed to exercise reasonable supervision over two employees who violated the securities laws, and that he caused his firm to commit numerous statutory and regulatory violations. The Commission permanently barred Horning from...

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