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RIORDAN v. S.E.C.

No. 10-1034.

627 F.3d 1230 (2010)

Guy P. RIORDAN, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided December 28, 2010.

Attorney(s) appearing for the Case

Jason Bowles argued the cause for petitioner. With him on the briefs was Caren I. Friedman .

Luis de la Torre , Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for appellees. With him on the brief were David M. Becker , General Counsel, Securities and Exchange Commission, Mark D. Cahn , Deputy General Counsel, Securities and Exchange Commission, Jacob H. Stillman , Solicitor, Securities and Exchange Commission, and Dimple Gupta , Attorney, Securities and Exchange Commission.

Opinion for the Court filed by Circuit Judge KAVANAUGH.

KAVANAUGH, Circuit Judge.

The New Mexico State Treasurer's Office invested some of the state's revenues in securities. From 1996 to 2002, the Treasurer's Office selected Guy Riordan's brokerage firms for many of those transactions. But the process for choosing brokerage firms was corrupt: Riordan paid kickbacks to New Mexico's Treasurer for the business. The crooked scheme ultimately unraveled amid a series of government investigations and enforcement actions. Relevant...

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