Fed. Sec. L. Rep. P 98,418 First Independence Group, Inc. Frank P. Giraldi and Mark S. Milana v. Securities and Exchange Commission

ALTIMARI, Circuit Judge: *

Petitioners First Independence Group, Inc. (“FIG”), Frank P. Giraldi, and Mark S. Mila-na (collectively, “petitioners”) appeal from an order of the Securities and Exchange Commission (“SEC”), affirming disciplinary action taken against them by the National Association of Securities Dealers (“NASD”). The NASD imposed sanctions on petitioners for, among other things, charging unfair and fraudulent markups to their customers in violation of Article III, Sections 1, 4, and 18 of the NASD’s Rules of Fair Practice, and Section 10(b) of the Securities Exchange Act of 1984…