Adviser's Spat Over SEC In-House Court Heads To 4th Circ.

Law360, New York (December 22, 2015, 9:54 PM EST) -- The Fourth Circuit looks to become the latest battleground over constitutional challenges to the U.S. Securities and Exchange Commission’s in-house court, as an investment adviser has filed notice that she intends to appeal a federal judge’s decision to dismiss her suit seeking to halt an administrative proceeding against her.

Dawn Bennett and her firm, Bennett Group Financial Services LLC, on Monday gave notice that they intend to appeal U.S. District Judge Paul W. Grimm’s ruling this month that he didn’t have jurisdiction to hear her claim...
To view the full article, register now.