Law360, New York (February 9, 2015, 7:55 PM EST) -- An investment adviser sued by the U.S. Securities and Exchange Commission after his depiction in Michael Lewis’ “The Big Short” has appealed a $3 million sanction and industry bar an agency judge handed down over his alleged misconduct in assembling structured products just before the financial crisis.
Attorneys for Wing Chau and his firm, Harding Advisory LLC, asked the five-member commission to review the initial decision of an administrative law judge, saying they “take exception to many of the findings,” including that they were liable for conduct that was not alleged when they were initially charged.
“When properly analyzed and weighed,...
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