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9th Circ. Won't Undo SEC's Win Against Settlement Holdouts

By Lauren Berg ( October 4, 2022, 7:21 PM EDT) -- The U.S. Securities and Exchange Commission will keep its win against three defendants who, unlike their 15 co-defendants, refused to settle over allegations they posed as retail investors to buy and "flip" municipal bonds, the Ninth Circuit ruled Tuesday, saying they behaved as brokers despite not being registered....

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