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SAAD v. S.E.C.

No. 10-1195.

718 F.3d 904 (2013)

John M.E. SAAD, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 11, 2013.

Attorney(s) appearing for the Case

Steven N. Berk argued the cause for petitioner. With him on the briefs was Matthew J. Bonness.   Michael S. Gulland entered an appearance.

Christopher Paik , Special Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Michael A. Conley , Deputy General Counsel, and John W. Avery , Deputy Solicitor.

Opinion for the Court filed by Senior Circuit Judge EDWARDS.

EDWARDS, Senior Circuit Judge:

This case involves a disciplinary action brought against John M.E. Saad by the Financial Industry Regulatory Authority, Inc. ("FINRA"), which is the successor to the National Association of Securities Dealers ("NASD"). From January 2000 to October 2006, Saad was a regional director in the Atlanta, Georgia, office of Penn Mutual Life Insurance Company ("Penn Mutual"). He was also registered with Penn Mutual's broker-dealer affiliate,...

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