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DC Circ. Weighs Reversal of Broker's Lifetime FINRA Ban

By Julia Arciga · September 24, 2020, 5:39 PM EDT

A D.C. Circuit panel on Thursday questioned whether a former broker's lifetime ban from the securities industry could be classified as a punitive sanction when considering whether to reverse an order...

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Case Information

Case Title

John Saad v. SEC

Case Number

19-1214

Court

Appellate - DC Circuit

Nature of Suit

-

Date Filed

October 17, 2019

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