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Chau Says SEC Penalties Should Fall After Lucia Decision

By Dean Seal (July 24, 2018, 6:52 PM EDT) -- Investment adviser Wing Chau asked the D.C. Circuit on Monday to set aside the U.S. Securities and Exchange Commission's penalties against him following the U.S. Supreme Court's holding in Lucia v. SEC that the regulator's administrative law judges, like the one who ordered sanctions against Chau, lack constitutional authority....

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