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SEC's ALJs Too Powerful, Financial Planner Tells DC Circ.

Law360, Los Angeles (February 1, 2016, 11:03 PM EST) -- A financial planner told the D.C. Circuit on Monday the U.S. Securities and Exchange Commission’s in-house judges — one of whom issued a lifetime ban and $300,000 in fines against him...
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Case Information

Case Title

Subscribers Only

Case Number

Subscribers Only


Appellate - DC Circuit

Nature of Suit

Date Filed

October 5, 2015

Law Firms

Government Agencies

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