Lucia And The (Un)Constitutionality Of SEC Judges

By Thomas Potter III (October 12, 2017, 1:13 PM EDT) -- Ray Lucia worked in the financial industry for 34 years, as a broker and later as an investment adviser. He gave free retirement planning seminars touting a wealth management strategy, with clearly labeled "hypotheticals" using "assumptions." His presentations said his strategy was "back-tested."...

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