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WORLD TRADE FINANCIAL CORP. v. U.S. S.E.C.

No. 12-70681.

739 F.3d 1243 (2014)

WORLD TRADE FINANCIAL CORPORATION; Jason Troy Adams; Frank Edward Brickell; Rodney Preston Michel, Petitioners, v. U.S. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed January 16, 2014.

Attorney(s) appearing for the Case

John Courtade (argued), Law Office of John Courtade, Austin, TX; Irving M. Einhorn , Law Offices of Irving M. Einhorn, Manhattan Beach, CA, for Petitioners.

Catherine A. Broderick (argued), Jacob H. Stillman , and Tracey A. Hardin, Securities and Exchange Commission, Washington, D.C., for Respondent.

Before: M. MARGARET McKEOWN, RONALD M. GOULD, and JAY S. BYBEE, Circuit Judges.

OPINION

GOULD, Circuit Judge:

World Trade Financial Corporation ("World Trade"), Jason T. Adams, Frank E. Brickell, and Rodney P. Michel (collectively, "Petitioners") petition for review of the Security and Exchange Commission's ("Commission") Order Sustaining Disciplinary Action Taken by FINRA (the Financial Industry Regulatory Authority), which upheld a variety of fines and sanctions against Petitioners for their violations of Sections 5(a) and 5(c) of...

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