Horning v. SEC, No. 08-1038

By FindLaw Staff on June 26, 2009 | Last updated on March 21, 2019

In a petition for review of an SEC order barring Petitioner from associating with a broker or dealer in a supervisory capacity based on his failure to adequately supervise two of his employees, the petition is denied where the SEC's order was reasonable and supported by substantial evidence.

Read Horning v. SEC, No. 08-1038

Appellate Information

Argued November 13, 2008

Decided June 26, 2009

Judges

Opinion by Judge Williams

Counsel

For Petitioner:

Thomas D. Birge, Birge & Minckley, P.C., Centennial, CO

For Respondent:

Dominick V. Freda, Senior Counsel, Securities & Exchange Commission, Washington, DC

Brian G. Cartwright, General Counsel, Securities & Exchange Commission, Washington, DC