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SHAREMASTER v. U.S. SECURITIES & EXCHANGE COM'N

No. 13-73199.

847 F.3d 1059 (2017)

SHAREMASTER, Petitioner, v. U.S. SECURITIES & EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Argued February 3, 2016.

Filed February 2, 2017.

Attorney(s) appearing for the Case

Howard Feigenbaum (argued), Hemet, California, pro se Petitioner.

Nicholas Bronni (argued), Senior Counsel; William K. Shirey , Assistant General Counsel; Jacob H. Stillman , Solicitor; Anne K. Small , General Counsel; Securities and Exchange Commission, Washington, D.C.; for Respondent.

Partial Concurrence and Partial Dissent by Judge N.R. Smith

OPINION

Securities Exchange Act Section 19(d)(2) authorizes the Securities and Exchange Commission (the Commission) to review any "final disciplinary sanction" imposed by a registered securities industry self-regulatory organization, including the Financial Industry Regulatory Authority (FINRA). 15 U.S.C. §...

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