The U.S. Securities and Exchange Commission on Monday is to wrap up its case against a financial adviser who refuses to defend herself in the agency’s in-house enforcement proceeding, citing constitutional issues.
Dawn Bennett, chief executive officer of Bennett Group Financial Services LLC., in Washington, DC, and her lawyers have skipped the proceeding, which began last Wednesday and ends on Monday, following testimony from a final SEC witness.
‘Enforcement 40’ for 2020
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