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7/12/16

No-show U.S. radio host, adviser is banned, fined by SEC judge


http://youtu.be/aM26CGUW9Uo
Securities and Exchange Commission judge has banned a radio host and investment adviser from the securities industry after she protested the regulator's enforcement case against her by ignoring it. In a decision on Monday, SEC Administrative Law Judge (ALJ) James Grimes also fined Dawn Bennett $600,000 and her Washington, D.C.-based Bennett Group Financial Services LLC $2.9 million, and ordered them to give up $556,102 of gains. Many defendants have said SEC administrative proceedings have procedural advantages over federal courts that make it easier for the regulator to win, and that the appointment process for the judges is unconstitutional. http://bit.ly/29P2vk2 http://bit.ly/1fJ5yqZ This video was produced by YT Wochit News using http://wochit.com


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