Legal Opinion
Brownson v. Securities & Exchange Commission
Court of Appeals for the Ninth Circuit
Decided May 16, 2003No. 02-73194; SEC No. 3-10295PublishedCited by 2 opinions
1Opinion of the Court
MEMORANDUM**
John S. Brownson petitions pro se for review of an order of the Securities and Exchange Commission (“SEC”) barring him from association with any broker or dealer following his guilty plea conviction for conspiracy to commit securities, mail and wire fraud, in violation of 18 U.S.C. § 371. We have jurisdiction pursuant to Section 25 of the Securities Exchange Act *688of 1934,15 U.S.C. § 78y(a)(3), and we deny the petition.
We review the SEC’s findings of fact for substantial evidence, 15 U.S.C. § 78y(a)(4), and must uphold the SEC’s findings “[i]f the evidence is susceptible to more…
2Cases cited5 opinions
- Donald Hateley, the Cambridge Group, and Wendy Seretan v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1993
- HINKLE NORTHWEST, INC., Ernest F. Hinkle, Kenneth T. LaMear and Dennis B. Reiter, Petitioners, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Ninth Circuit · 1981
- Atlanta-One, Inc. Kevin M. McCarthy Thom Blodgett v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1996
- Fed. Sec. L. Rep. P 99,686 Kenneth A. Carter v. Securities and Exchange Commission, Mario T. Ribeiro v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1983
- United States v. James A. Merriam, United States of America v. Harold B. HayesCourt of Appeals for the Ninth Circuit · 1997
3Cited by2 opinions
- Kornman v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2010
- Seghers v. Securities & Exchange CommissionCourt of Appeals for the D.C. Circuit · 2008