Robert Lester Gardner v. Securities and Exchange Commission

89 F.3d 845 NOTICE: Ninth Circuit Rule 36-3 provides that dispositions other than opinions or orders designated for publication are not precedential and should not be cited except when relevant under the doctrines of law of the case, res judicata, or collateral estoppel. Robert Lester GARDNER, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent. No. 95-70672. United States Court of Appeals, Ninth Circuit. Submitted April 22, 1996. * Decided April 29, 1996. Before: ALL, THOMPSON and RYMER, Circuit Judges. 1 MEMORANDUM ** 2 Robert Lester Gardner petitions pro se for review of the Security and Exchange Commission's ("SEC") decision affirming disciplinary sanctions imposed against Gardner by the National Association of Securities Dealers, Inc. ("NASD"). 1 Gardner contends that the Commission erred by finding that he made an unauthorized purchase of stocks in a customer's account while working as a salesman for Toluca Pacific Securities Corp. We have jurisdiction pursuant to Section 25(a)(1) of the Securities and Exchange Act of 1934, 15 U.S.C. 78y(a)(1), and we deny the petition. 3 The Commission's findings of fact must be affirmed if they are supported by "substantial…