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SAAD v. S.E.C.

No. 15-1430.

873 F.3d 297 (2017)

John M.E. SAAD, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided October 13, 2017.

Attorney(s) appearing for the Case

Sara E. Kropf , Washington, DC, argued the cause for petitioner. With her on the briefs was Steven Nathan Berk .

Dina B. Mishra , Attorney, U.S. Securities and Exchange Commission, argued the cause for respondent. On the brief were Anne K. Small , General Counsel at the time the brief was filed, Sanket J. Bulsara , Deputy General Counsel at the time the brief was filed, John W. Avery , Deputy Solicitor, and Christopher Paik , Special Counsel.

Dubitante opinion filed by Circuit Judge Millett with respect to Section II.B of the opinion.

John M.E. Saad, a broker-dealer, unlawfully misappropriated his employer's funds on two separate occasions, and then spent the next seven months misleading investigators in an effort to cover up his wrongdoing. After a lengthy review process, the Securities and Exchange Commission sustained a decision of the Financial Industry...

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