ALJ Denies SEC Quick Win In 3C Unregistered Brokerage Case

By Pete Brush ( July 22, 2016, 6:35 PM EDT) -- An administrative law judge on Friday denied the U.S. Securities and Exchange Commission's request for a summary finding against California-based 3C Advisors & Associates Inc. and two of its principals, holding that the agency has more work to do in proving up allegations that the respondents engaged in unregistered broker activity....

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