In a petition for review of the SEC’s affirmance of the National Association of Securities Dealers’ award of restitution against petitioner-securities representative, the petition is granted where the SEC completely failed to articulate any meaningful standards governing the level of causation required under Principle 5 of the Financial Industry Regulatory Authority Sanction Guidelines.
Read Siegel v. SEC, No. 08-1379
Appellate Information
Argued September 14, 2009
Decided January 12, 2010
Judges
Opinion by Judge Edwards
Counsel
For Petitioner:
George C. Freeman, III, Washington, DC
For Respondent:
Rada Lynn Potts and David M. Becker, Securities and Exchange Commission, Washington, DC
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