1. Home
  2. Browse Decisions
  3. F.3d
  4. 736 F.3d
  5. 736 F.3d 521 (2013)
 

COLLINS v. S.E.C.

No. 12-1241.

736 F.3d 521 (2013)

Matthew J. COLLINS, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided November 26, 2013.

Attorney(s) appearing for the Case

Robert G. Heim argued the cause for the petitioner. With him on the briefs was Erik S. Jaffe.

Paul G. Alvarez , Attorney, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Michael A. Conley , Deputy General Counsel, Jacob H. Stillman , Solicitor, and Mark Pennington, Assistant General Counsel.

Before: KAVANAUGH, Circuit Judge, and WILLIAMS and SENTELLE, Senior Circuit Judges.

Opinion for the Court filed by Senior Circuit Judge WILLIAMS.

WILLIAMS, Senior Circuit Judge.

The Securities and Exchange Commission found that Matthew J. Collins failed to supervise a subordinate who violated various securities laws. The SEC imposed a civil penalty of $310,000 under § 15(b)(4)(E) of the Exchange Act, among other sanctions. Collins petitioned for review, arguing that the civil penalty was arbitrary and capricious and violated the Excessive...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases