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RICUPERO v. RITIES AND EXCHANGE COMMISSION,

No. 10-4566-ag.

JOSEPH RICUPERO, Petitioner, v. RITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Second Circuit.

September 1, 2011.

Attorney(s) appearing for the Case

MARNI E. WEISS , Weiss Imbesi PLLC, New York, New York, for Petitioner.

MORGAN BRADYLYONS , Senior Counsel ( Mark D. Cahn , General Counsel, Anne K. Small , Deputy General Counsel, Jacob H. Stillman , Solicitor, Randall W. Quinn , Assistant General Counsel, on the brief), Securities and Exchange Commission, Washington, D.C., for Respondent.

DEBRA ANN LIVINGSTON, RAYMOND J. LOHIER, Jr., Circuit Judges, JOHN G. KOELTL, District Judge.

SUMMARY ORDER

Petitioner Joseph Ricupero ("Ricupero") petitions for review of a final opinion and order of the Securities and Exchange Commission ("SEC") sustaining the National Association of Securities Dealers, Inc.'s ("NASD")1 imposition of a permanent bar against Ricupero from associating with any NASD member firm in any capacity. A Hearing Panel of the NASD issued a decision, dated May 14, 2008, imposing the bar for failure to respond...

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