Katz v. Securities and Exchange Commission

This case concerned petitioner's handling of accounts belonging to seven Wachovia Securities, Inc. (Wachovia) customers. Petitioner, a registered representative associated with Wachovia, a member of the New York Stock Exchange (NYSE), petitioned for review of an order of the SEC sustaining a disciplinary action against her by the NYSE. The court denied the petition for review and affirmed the SEC order because the court concluded that the SEC's decision was reasonable and supported by substantial evidence. View "Katz v. Securities and Exchange Commission" on Justia Law