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SIEGEL v. S.E.C.

No. 08-1379.

592 F.3d 147 (2010)

Michael Frederick SIEGEL, Petitioner v. SECURITIES and EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided January 12, 2010.

Attorney(s) appearing for the Case

George C. Freeman, III argued the cause for petitioner. With him on the briefs was Meredith A. Cunningham.

Rada Lynn Potts, Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With her on the brief were David M. Becker, General Counsel, and Jacob H. Stillman, Solicitor.

Opinion for the Court filed by Senior Circuit Judge EDWARDS.

EDWARDS, Senior Circuit Judge:

This case involves a disciplinary action brought by the National Association of Securities Dealers ("NASD")* against Michael Frederick Siegel ("Siegel"). From October 1997 to June 1999, Siegel worked as a registered, general securities representative with Rauscher Pierce Refsnes, Inc. ("Rauscher"), a NASD member firm. In 2002, NASD's Department of Enforcement filed...

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