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Chau, SEC Spar On Penalties While DC Circ. Weighs ALJs

By Jack Newsham (April 17, 2017, 8:40 PM EDT) -- The U.S. Securities and Exchange Commission asked the D.C. Circuit on Monday to keep the regulator's sanctions against investment adviser Wing Chau, who said the penalties would wreck his livelihood, in place while the appeals court weighs a challenge to the SEC's use of administrative law judges....

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