Second Circuit – Securities Industry: Mathis v. SEC
By Daily Record Staff
Posted: 1:02 am Tue, February 21, 2012
1:02 am Tue, February 21, 2012
U.S. Court of Appeals for the Second Circuit
Willful Failure to Disclose — Disqualification
Mathis v. SEC
Judges Miner, Lynch and Lohier
Background: The petitioner sought review of an order from the Securities and Exchange Commission that affirmed the sanctions imposed by the Financial Industry Regulatory Authority. The order had concluded that the petitioner ...
Already a paid subscriber but not registered for online access yet? For instructions on how to get premium web access, click here.