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CODY v. S.E.C.

No. 11-2247.

693 F.3d 251 (2012)

Richard G. CODY, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, First Circuit.

Decided September 7, 2012.

Attorney(s) appearing for the Case

Stephen Z. Frank with whom Law Office of Stephen Z. Frank was on brief for petitioner.

Daniel Staroselsky , Senior Counsel, Securities and Exchange Commission, with whom Mark D. Cahn , General Counsel, Michael A. Conley , Deputy General Counsel, Jacob H. Stillman , Solicitor, and Randall W. Quinn , Assistant General Counsel, were on brief for respondent.

Before BOUDIN, HAWKINS and THOMPSON, Circuit Judges.

BOUDIN, Circuit Judge.

Richard G. Cody seeks review in this court of an administrative determination, sustained by the Securities and Exchange Commission ("SEC"), that Cody mismanaged various brokerage accounts under his supervision. The original determination including sanctions was made by the Financial Industry Regulatory Authority ("FINRA"). A reasonably full description of the underlying events and evidence is required...

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