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Defended in trial a broker-dealer against SEC allegations that the firm violated Regulation S-P through its recruiting practices and convinced the ALJ to order a reduced penalty.

ClientA broker-dealer
Description
Defended a broker-dealer in a case of first impression against the SEC's allegations that the firm had violated Regulation S-P, which is the SEC's privacy rule. After a one-week trial, we convinced the Administrative Law Judge to order a penalty substantially less than that demanded by the Division of Enforcement staff.
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click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Defended in trial a broker-dealer against SEC allegations that the firm violated Regulation S-P through its recruiting practices and convinced the ALJ to order a reduced penalty.
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