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SAAD v. S.E.C.

No. 19-1214.

980 F.3d 103 (2020)

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

United States Court of Appeals, District of Columbia Circuit.

Decided November 6, 2020.

Attorney(s) appearing for the Case

Sarah Levine argued the cause for petitioner. With her on the briefs was Alex Potapov , Washington, DC.

Dina B. Mishra , Senior Counsel, Securities and Exchange Commission, argued the cause for respondent. With her on the brief was John W. Avery , Deputy Solicitor. Michael A. Conley , Solicitor, entered an appearance.

Before: Tatel, Pillard, and Wilkins, Circuit Judges.

John M.E. Saad, a broker-dealer, twice misappropriated his employer's funds. Following Saad's unsuccessful efforts to cover his tracks by falsifying an expense report, forging receipts, and misleading investigators, the Financial Industry Regulatory Authority (FINRA) permanently barred him from membership and from associating...

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