John Curley Discusses Upcoming D.C. Circuit Appeal, Saad v. SEC, with the Media
Alert
03.06.2020
John Curley spoke with Law360, ThinkAdvisor, and Investment News about the uphill battle facing John M.E. Saad in this closely-watched case, which has the potential to dramatically re-shape how FINRA disciplines brokers. John explains why a ruling in favor of the ex-broker could significantly alter how and when FINRA imposes industry bans. The articles are available here, here, and here.