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Browse: Home / 2016 / February / 03 / SEC nears end of case against ‘no show’ financial adviser — Reuters

SEC nears end of case against ‘no show’ financial adviser — Reuters

By Securities Docket on February 3, 2016, 11:20 am

Nonetheless, the plan to let SEC end its case without a word in Bennett’s defense has drawn barbs from lawyers who say it can compound an already bad problem by leading to a judgment against her.

“This is the biggest mistake that you can make,” said Columbia Law School professor John Coffee.

Bennett, however, could appeal such a judgment, raising the same constitutional arguments. The strategy was “diligently researched,” said Gregory Morvillo, Bennett’s New York-based lawyer.

“We knew that there could be short-term difficult times, but we’re hoping for long-term victory,” Morvillo said.

via SEC nears end of case against ‘no show’ financial adviser — Reuters

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