A federal appeals court denied a New Jersey broker-dealer’s appeal of a U.S. Securities and Exchange Commission ruling in a case over the man’s Form U4 filing, FINRA records show.

Douglas John Toth, a registered representative, had appealed the SEC’s decision sustaining the National Adjudicatory Council’s ruling that he filed a Form U4 that contained a misrepresentation of material fact, according to FINRA records.

The U.S. Court of Appeals denied his review, leading FINRA to impose its sanction.

Toth was suspended from any association with FINRA members for one year, ending May 17, 2010.

The Form U4 is the Uniform Application for Broker-Dealer Registration, seeking personal information about the applicant, including work history, registrations and disclosures, as well as pending or resolved regulatory actions and judicial actions.