Escolar Documentos
Profissional Documentos
Cultura Documentos
txt
Washington, D.C.
___________________________________________________
In the Matter of :
___________________________________________________:
BROKER-DEALER PROCEEDING
Conviction
Injunction
Collateral Bar
Permanent Bar
association.
APPEARANCES:
Enforcement.
I.
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review of the record, except with respect to those findings not
challenged on appeal.
II.
of 1934 [2] and Exchange Act Rule 10b-5; [3] of aiding, abetting,
$105,465.50. [5]
Gruntal customers.
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the Exchange Act and Exchange Act Rule 10b-5, from violating, or
already imposed upon him. The law judge also expressed the view
III.
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find that the person has been the subject of any of these
following factors:
fraudulent scheme.
for stating:
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Westerfield, however, downplays the wrongfulness of the conduct
legal process. [21] He claims that the evidence against him was
Griggs, claims that his own attorney in the criminal trial was
incompetent, and complains that the jury that found him guilty
sum." He also claims that the $210,000 that he derived from the
and Keystone, [23] whether or not the trades were suitable does
not be time-limited.
IV.
Blinder:
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the requirement that misconduct flow across the securities
the Exchange Act and the Advisers Act, and enjoined from
**FOOTNOTES**
his conviction.
Exchange Act Rel. No. 35609 (Apr. 17, 1995), 59 SEC Docket
[13]:Id.
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(quoting SEC v. Blatt, 583 F.2d 1325, 1334 n.29 (5th Cir.
the government."
v. Shore, 439 U.S. 322, 326 & n.5 (1979), precludes our
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1994.
Rel. No. 40244 (July 22, 1998), 67 SEC Docket 1798, 1805
F.2d 706, 711 (6th Cir. 1985) (holding that the Commission
564, 572 (11th Cir. 1995), cert. denied, 517 U.S. 1119
a better price).
F.2d 795, 803 (8th Cir.), cert. denied, 319 U.S. 767 (1943);
78o(b)(6).
589, 598 & n.21 (2d Cir. 1969) and Vanasco v. SEC, 395 F.2d
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349, 353
Jonathan G. Katz
Secretary
**FOOTNOTES**
before the
___________________________________________________
In the Matter of :
___________________________________________________:
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is
securities association.
By the Commission.
Jonathan G. Katz
Secretary
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