Horning v. SEC, No. 08-1038
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
Argued November 13, 2008
Decided June 26, 2009
Opinion by Judge Williams
Thomas D. Birge, Birge & Minckley, P.C., Centennial, CO
Dominick V. Freda, Senior Counsel, Securities & Exchange Commission, Washington, DC
Brian G. Cartwright, General Counsel, Securities & Exchange Commission, Washington, DC
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