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SCHWALM v. PENNSYLVANIA SECURITIES COMM.

No. 1426 C.D. 2008.

965 A.2d 326 (2009)

Joseph S. SCHWALM, Petitioner v. PENNSYLVANIA SECURITIES COMMISSION, Respondent.

Commonwealth Court of Pennsylvania.

Decided February 2, 2009.

Attorney(s) appearing for the Case

Joseph S. Schwalm, petitioner, pro se.

Michael J. Byrne, Chief Counsel, Harrisburg, for respondent.

BEFORE: PELLEGRINI, Judge, and SIMPSON, Judge, and McCLOSKEY, Senior Judge.

OPINION BY Judge PELLEGRINI.

Joseph S. Schwalm (Schwalm) appeals pro se an order of the Pennsylvania Securities Commission (Commission) finding that he violated Section 301(b) of the Pennsylvania Securities Act (Act),1 70 P.S. § 301(b), by selling unregistered securities in Pennsylvania. As a result, the Commission barred him from working as a securities representative in Pennsylvania and imposed a $140,000 administrative assessment...

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