Leaving Is The Hardest Part Especially If You Want To Re-Enter The Securities Industry
By EsqSocial Corporation 25/02/21
We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred. See https://www.sec.gov/litigation/admin/2021/ia-5682.pdf. On February 9, 2021, the United States Securities and Exchange Commission refused to let a former investment adviser re-register, claiming that the barred adviser had not demonstrated “extraordinary circumstances” to merit re-entry ......
By: Fox Rothschild LLP