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SEC Urges 1st Circ. To Deny Ex-State Street Execs' Appeals

Law360, New York (July 15, 2015, 8:03 PM EDT) -- The U.S. Securities and Exchange Commission on Wednesday told the First Circuit it showed substantial evidence that two former State Street Global Advisors executives had violated securities laws during the run-up to the financial crisis, and the agency’s sanctions on them should be left standing.

In a 76-page brief before the Boston federal appeals court, SEC attorneys said the two former executives, John P. Flannery and James D. Hopkins, should be denied their appeals of penalties the commission leveled against them in December, when it found they had made materially misleading statements about the safety of a certain State Street bond...

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