Adviser Fails to Gain High Court Review Of Ruling Affirming SEC Industry Bar Order

published Mar 23, 2010
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Investment Advisers: The U.S. Supreme Court March 22 declined to review a federal appeals court decision affirming the Securities and Exchange Commission's decision to bar investment adviser David Disraeli from the securities industry for making material misrepresentations in the offer and sale of securities, among other violations (SEC v. Disraeli, U.S., No. 00-941, 3/22/10).

Source: BNA - Securities Law Daily
Document ID: A0C2M5D6H1
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