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PIERCE v. S.E.C.

No. 14-1079.

786 F.3d 1027 (2015)

Gordon Brent PIERCE, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided May 22, 2015.

Attorney(s) appearing for the Case

Christopher B. Wells argued the cause for petitioner. With him on the briefs were David C. Spellman , Juan Marcel Marcelino , and Madeleine M. Blake .

Benjamin L. Schiffrin , Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief were Michael A. Conley , Deputy General Counsel, John W. Avery , Deputy Solicitor, and Benjamin M. Vetter , Senior Counsel.

Before: MILLETT, Circuit Judge, EDWARDS, Senior Circuit Judge, and SENTELLE, Senior Circuit Judge.

This case emanates from two separate enforcement actions initiated by the Securities and Exchange Commission ("SEC" or "Commission") against Petitioner Gordon Brent Pierce. In each action, the SEC found that Pierce had violated, inter alia, Sections 5(a) and 5(c) of the Securities Act of 1933 (the "Act"), 15 U.S.C...

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