Brad Greenspan v. Ussec ( 2018 )

NOT FOR PUBLICATION FILED
UNITED STATES COURT OF APPEALS JUN 19 2018
MOLLY C. DWYER, CLERK
U.S. COURT OF APPEALS
FOR THE NINTH CIRCUIT
BRAD GREENSPAN, No. 17-72832
Petitioner, SEC File No. 2016-8
v. MEMORANDUM*
U.S. SECURITIES & EXCHANGE
COMMISSION,
Respondent.
On Petition for Review of an Order of the
Securities & Exchange Commission
Submitted June 12, 2018**
Before: RAWLINSON, CLIFTON and NGUYEN, Circuit Judges.
Brad Greenspan petitions for review of an order of the Securities and
Exchange Commission (“SEC”) denying his claim for a whistleblower award
under Section 21F of the Securities Exchange Act of 1934. We have jurisdiction
under 15 U.S.C. § 78u-6(f). The SEC’s determination may be set aside only if
*
This disposition is not appropriate for publication and is not precedent
except as provided by Ninth Circuit Rule 36-3.
**
The panel unanimously concludes this case is suitable for decision
without oral argument. See Fed. R. App. P. 34(a)(2).
“arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with
law,” or “unsupported by substantial evidence.” 5 U.S.C. § 706(2)(A), (2)(E); see
also 15 U.S.C. § 78u-6(f); Ponce v. SEC, 345 F.3d 722, 728 (9th Cir. 2003). We
deny the petition.
The record supports the SEC’s determination that Greenspan is not entitled
to a whistleblower award because Greenspan did not provide information to the
SEC “that led to the successful enforcement” of an SEC action. 15 U.S.C. § 78u-
6(b)(1); see also 17 C.F.R. § 240.21F-4(c) (defining information that led to
successful enforcement action).
We do not consider arguments and allegations raised for the first time on
appeal. See Padgett v. Wright, 587 F.3d 983, 985 n.2 (9th Cir. 2009).
PETITION FOR REVIEW DENIED.
2 17-72832