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MARTIN v. U.S. S.E.C.

Docket No. 11-3011.

734 F.3d 169 (2013)

Robert A. MARTIN, Empire Programs, Inc., Petitioners, v. UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

Decided: October 30, 2013.

Attorney(s) appearing for the Case

Allan H. Carlin , Law Office of Allan H. Carlin, New York, NY, for Petitioners.

Jeffrey A. Berger , Senior Counsel, ( Luis de la Torre , Senior Litigation Counsel, Jacob H. Stillman , Solicitor, Michael A. Conley , Deputy General Counsel, on the brief), Securities and Exchange Commission, Washington, DC, for Respondent.

Before: KATZMANN, Chief Judge, KEARSE, and DRONEY, Circuit Judges.

PER CURIAM:

In 2004, the Securities and Exchange Commission ("SEC") settled an enforcement action against seven firms that executed trading orders on the New York Stock Exchange ("NYSE"). Pursuant to the settlement orders, the SEC placed the money obtained as a result of the enforcement actions into funds for distribution to injured customers. After extensive efforts to identify and compensate injured customers, the SEC ordered...

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