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Attorneys for former investment adviser want full D.C. Circuit review of SEC decision

Jessica Karmasek Sep. 30, 2016, 2:22pm

In August, the U.S. Court of Appeals for the D.C. Circuit rejected a petition for review of a 2013 decision by U.S. Securities and Exchange Commission administrative law judges. The judges barred Raymond J. Lucia and his company from associating with a financial adviser, broker or dealer and revoked the company’s investment adviser registrations.