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MONTFORD AND CO., INC. v. S.E.C.

No. 14-1126.

793 F.3d 76 (2015)

MONTFORD AND COMPANY, INC., Doing Business as Montford Associates and Ernest V. Montford, Sr., Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided July 10, 2015.

Attorney(s) appearing for the Case

Ryan C. Morris argued the cause for petitioners. With him on the briefs were Jeffrey T. Green , Tobias S. Loss-Eaton , and Christopher R. Mills.

Theodore J. Weiman , Senior Counsel, 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 Dominick V. Freda , Senior Litigation Counsel. Susan S. McDonald , Attorney, entered an appearance.

Opinion for the Court filed by Senior Circuit Judge SENTELLE.

Petitioners Montford and Company, Inc., and Ernest V. Montford, Sr., petition this court for review of a final order of the Securities and Exchange Commission finding that petitioners violated Sections 204, 206, and 207 of the Investment Advisors Act of 1940, 15 U.S.C. §§ 80b-4, 80b-6(1)-(2), 80b-7, and Advisors...

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