Mark Webb

Mark Webb

Snell & Wilmer

Contact
View Bio
RSS

Latest Posts › Appeals

Share:

Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time

In a triumph of reason over complexity, the D.C. Circuit has held that an investment adviser cannot negligently commit an intentional act. In so holding, the second highest court in the land has (once again) overturned a...more

5/6/2019  /  Administrative Law Judge (ALJ) , Appeals , Conflicts of Interest , De Novo Standard of Review , Investment Adviser , Investment Advisers Act of 1940 , Negligence , Retail Investors , Securities and Exchange Commission (SEC) , Willful Misconduct
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide