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John Curley Discusses Upcoming D.C. Circuit Appeal, Saad v. SEC, with the Media

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03.06.2020

John Curley spoke with Law360, ThinkAdvisor, and Investment News about the uphill battle facing John M.E. Saad in this closely-watched case, which has the potential to dramatically re-shape how FINRA disciplines brokers. John explains why a ruling in favor of the ex-broker could significantly alter how and when FINRA imposes industry bans. The articles are available here, here, and here.

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