Court of Appeals for the Ninth Circuit March 3, 2003, 02-55201 (Securities and Exchange Commission v. Kevin Michael McCarthy Thomas William Blodgett)

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United States · · · 03-03-2003

OPINION

D.W. NELSON, Senior Circuit Judge.

Kevin McCarthy and Thomas Blodgett appeal the district court’s order granting the Application of the United States Securities and Exchange Commission (the “Commission”) seeking enforcement of a Commission order. The Commission affirmed a disciplinary decision of the National Association of Securities Dealers (“NASD”), fining McCarthy and Blodgett $48,892.

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