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Browse: Home / 2016 / January / 29 / Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week

Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week

By Securities Docket on January 29, 2016, 1:34 pm

Yesterday, a financial advisor who is the respondent in an SEC administrative proceeding announced that she is employing a new tactic to challenge the SEC’s controversial in-house court: refusing to attend.

via Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week

Posted in SEC, Top | Tagged APs

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