[1]     

UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT August Term, l995

, [5]     

Decided: January 18, 1996

, [6]      PETITION OF FORMER CHIEF FINANCIAL OFFICER OF A REGISTERED BROKERAGE FIRM FOR REVIEW OF AN ORDER OF THE SECURITIES AND EXCHANGE COMMISSION CENSURING HIM FOR FAILING REASONABLY TO SUPERVISE A SUBORDINATE, THEREBY PERMITTING THE SUBORDINATE TO AID AND ABET A VIOLATION OF COMMISSION RULE L5C3-3(E). " />

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Upton v. Securities and Exchange Commission


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