Timothy Lane Burkes v. Securities and Exchange Commission

29 F.3d 630 NOTICE: Ninth Circuit Rule 36-3 provides that dispositions other than opinions or orders designated for publication are not precedential and should not be cited except when relevant under the doctrines of law of the case, res judicata, or collateral estoppel. Timothy Lane BURKES, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. No. 93-70527. United States Court of Appeals, Ninth Circuit. Submitted July 18, 1994. * Decided July 25, 1994. Before: FARRIS, KOZINSKI, and NOONAN, Circuit Judges. 1 MEMORANDUM ** 2 Timothy Lane Burkes petitions pro se for review of the Securities and Exchange Commission's ("SEC") decision finding that Burkes violated the Rules of Fair Practice of the National Association of Securities Dealers ("NASD") and upholding sanctions imposed on Burkes by the NASD. We have jurisdiction pursuant to 15 U.S.C. Sec. 78y(a)(1). We deny the petition for review. 3 Burkes was employed as a salesperson in the Pleasanton, California office of Shearson Lehman Hutton, Inc. ("SLH") from 1988 to January 31, 1990, when he was fired. On November 16, 1990, the NASD's District Business Conduct Committee No. 2 ("DBCC") issued a complaint charging Burkes with…