Securities & Regulatory Enforcement

Stradley Ronon partner and co-chair of the firm’s securities and regulatory enforcement practice Greg DiMeglio was quoted by Ignites in its coverage of a recent U.S. Securities and Exchange Commission (SEC) enforcement action involving violations of Regulation Best Interest.

In the article, Greg noted, “It’s not clear from the face of the SEC’s settled order with DLA what happened behind the scenes that led to the resolution outlined in the order.”

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