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Self-Regulatory Organizations Kokesh v SEC

K&L Gates LLP

D.C. Circuit Opinions Call into Question FINRA’s Ability to Impose “Capital Punishment” on the Securities Industry

K&L Gates LLP on

The D.C. Circuit on October 13, 2017, issued an order remanding to the SEC a question involving an application of the Supreme Court’s recent decision in Kokesh v. SEC: whether FINRA’s imposition of a lifetime bar on a...more

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