In-House Judge Hands SEC Enforcers Rare Setback - Bloomberg BNA

June 30, 2016 by rfg



In-House Judge Hands SEC Enforcers Rare Setback
Bloomberg BNA
The company wasn’t liable simply for being the custodian of retirement accounts that were stocked with investments promoted by fraudsters, the ALJ said in the first case of its kind against a self-directed individual retirement account custodian ...