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MATHIS v. U.S. SECURITIES & EXCHANGE COMMISSION

Docket No. 10-429-ag.

671 F.3d 210 (2012)

Scott MATHIS, Petitioner, v. UNITED STATES SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided: February 14, 2012.

Attorney(s) appearing for the Case

Eric S. Hutner , Hutner Klarish LLP, New York, N.Y., for Petitioner-Appellant.

Susan S. McDonald , Senior Litigation Counsel ( David M. Becker , General Counsel; Mark D. Cahn , Deputy General Counsel; Jacob H. Stillman , Solicitor, on the brief), Securities and Exchange Commission, Washington, D.C., for Respondent-Appellant.

Before: MINER, LYNCH, and LOHIER, Circuit Judges.

LOHIER, Circuit Judge:

Petitioner Scott Mathis, a registered representative and principal with various brokerage firms over the years, seeks review of a December 7, 2009, final order of the Securities and Exchange Commission (the "SEC" or "Commission"), which concluded that Mathis willfully failed to disclose the existence of certain tax liens filed against him and thereby violated § 3(a)(39) and § 15(b)(4)(A) of the Securities Exchange Act of 1934 (the...

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