Dawn Bennett Refuses to Attend 'Kangaroo' AP, SEC Proceeds Without Her

By 2016-01-29T09:45:00

Yesterday, a financial advisor who is the respondent in an SEC administrative proceeding announced that she is employing a new tactic to challenge the SEC's controversial in-house court: refusing to attend.

lock iconTHIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.

Become a Member

News and analysis for the well-informed compliance or audit exec.

Annual Membership best value

Subscribe now for $365

Our lowest price ($1 per day) for one year.

Already a Compliance Week member?