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MALOUF v. S.E.C.

No. 16-9546.

933 F.3d 1248 (2019)

Dennis J. MALOUF, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Tenth Circuit.

FILED August 13, 2019.

Attorney(s) appearing for the Case

Kenneth F. Berg , Ulmer & Berne LLP, Chicago, Illinois ( Alan M. Wolper and Heidi E. VonderHeide with him on the briefs), for Petitioner.

Daniel Aguilar , Attorney, Appellate Staff, Civil Division, United States Department of Justice, Washington, D.C. and Lisa Helvin , Senior Counsel, Securities and Exchange Commission, Washington, D.C. ( Chad A. Readler , Acting Assistant Attorney General, Mark R. Freeman , Attorney, and Joshua A. Salzman , Attorney, Appellate Staff, Civil Division, United States Department of Justice, Washington, D.C.; Michael A. Conley , Solicitor, and Dominick V. Freda , Assistant General Counsel, Securities and Exchange Commission, Washington, D.C., with them on the briefs), for Respondent.

Before BRISCOE, HARTZ, and BACHARACH, Circuit Judges.

Mr. Dennis Malouf occupied key roles at two firms. One of the firms (UASNM, Inc.) offered investment advice; the other firm (a branch of Raymond James Financial Services) served as a broker-dealer. Raymond James viewed those dual roles as a conflict, so Mr. Malouf sold the Raymond James branch. But the structure of the...

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