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Industry Backs Commonwealth's Appeal Of SEC's $93M Win

By Jessica Corso ( August 2, 2024, 8:51 PM EDT) -- The Financial Services Institute is calling on the First Circuit to overturn the U.S. Securities and Exchange Commission's $93 million victory against member firm Commonwealth Financial Network, arguing the lower court's disgorgement analysis undermines a U.S. Supreme Court decision and leaves other investment advisers fearing "outsized" enforcement actions....

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