Morton Bruce Erenstein v. SEC

Morton Bruce Erenstein, proceeding pro se, petitions for review of a final disciplinary order of the Securities and Exchange Commission (“SEC”) affirming a decision of the National Association of Securities Dealers (“NASD”), which found that, as a securities dealer or associated person, he had violated two regulatory rules and should be suspended for a period of one year.

Liberally construing his brief, Erenstein argues that his suspension constituted an abuse of discretion as substantial evidence did not support the SEC’s finding that he violated the rules. Because Erenstein also challenges…