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LORENZO v. S.E.C.

No. 15-1202.

872 F.3d 578 (2017)

Francis V. LORENZO, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided September 29, 2017.

Attorney(s) appearing for the Case

Robert G. Heim argued the cause for petitioner. With him on the briefs were Stephanie Rapp-Tully and Steven L. Herrick.

Martin V. Totaro , Attorney, Securities and Exchange Commission, argued the cause for respondent. On the brief were Anne K. Small , General Counsel, Michael A. Conley , Solicitor, and Benjamin L. Schiffrin , Senior Litigation Counsel.

Dissenting opinion filed by Circuit Judge Kavanaugh.

The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about key features of a securities offering. The Commission determined that Lorenzo's conduct violated various securities-fraud provisions. We uphold the Commission's findings that the statements...

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