October 17, 2019
John Saad v. SEC
Case Number:
19-1214
Court:
Nature of Suit:
Government Agencies
View recent docket activity
Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
Coverage
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November 06, 2020
DC Circ. Keeps Broker's Lifetime FINRA Ban Intact
The D.C. Circuit rejected a broker-dealer's bid to overturn the Financial Industry Regulatory Authority's decision to ban him from the securities industry for life after determining he misappropriated his employer Penn Mutual's funds, finding Friday that the U.S. Supreme Court's 2017 Kokesh decision has no bearing on the case.
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