SEC Ban On Convicted Atty Wrongfully Retroactive: DC Circ.
By Melissa Daniels ( January 17, 2017, 4:47 PM EST) -- A former attorney convicted in a wide-ranging securities fraud scheme challenging a lifetime industry ban saw his appeal granted on five of six fronts Tuesday when a D.C. Circuit panel found the U.S. Securities and Exchange Commission had incorrectly applied Dodd-Frank Act provisions retroactively....
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