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In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

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Dawn Bennett: We weren't an RIA and weren't running our books like an RIA. We were an independent B-D and were doing it correctly that way.

Related Moves

November 18, 2022 at 2:56 AM

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MarketCounsel | Hamburger Law Firm
Consulting Firm, Compliance Expert, Legal Services for RIAs
Top Executive: Brian Hamburger

Hamburger Law Firm
Specialized Breakaway Service, Mergers and Acquisition Firm, Legal Services for RIAs
Top Executive: Brian Hamburger

Jack B.

Jack B.

August 2, 2016 — 11:53 AM

SEC uses its power like Roger Goodell

The Javier

The Javier

August 6, 2016 — 1:12 AM

So Ms Bennett admits to gross inflation of her AUM. Reporting 5x your highest AUM is fraud, plain and simple! What am I missing here? Let’s hope the SEC decides to refer Ms Bennett out for criminal action.

In the Know

In the Know

September 30, 2017 — 6:32 PM
Interesting that Bernie Madoff was mentioned in this article as a reason that the SEC has come down hard on advisors as Bennett has now been arrested for running a $20 million Ponzi scheme. She also lost her home arrest status in waiting for the trail because she repeatedly contacted people she was told not to contact as terms for being allowed house arrest. Her true nature has been revealed. I agree with a former customer. She is a sociopath. Enjoy jail Bennett. Hope you are allowed to chose your prison shoes in different colors.

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