11th Circ. Backs SEC Win In Trader's Challenge To 'Dealer' Tag

By Katryna Perera (May 29, 2024, 9:27 PM EDT) -- An Eleventh Circuit panel on Wednesday affirmed the U.S. Securities and Exchange Commission's win in a suit accusing a microcap stock trader of earning $21.5 million while operating as an unregistered dealer, further solidifying the regulator's argument that so-called toxic lenders are considered unregistered dealers....

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