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
![Jack B.](/_next/image?url=https%3A%2F%2Fwww.gravatar.com%2Favatar.php%3Fgravatar_id%3D4233cda8dc3933216152cb07e74fcef6%26default%3Dhttps%253A%252F%252Fucarecdn.com%252F0b5addcb-6e7e-48f1-9e88-2279491e69b9%252Fiphonelogo.png%26size%3D50&w=1200&q=75)
Jack B.
SEC uses its power like Roger Goodell
![The Javier](/_next/image?url=https%3A%2F%2Fwww.gravatar.com%2Favatar.php%3Fgravatar_id%3Dd3cb48421208baceced9931afc5c81a9%26default%3Dhttps%253A%252F%252Fucarecdn.com%252F0b5addcb-6e7e-48f1-9e88-2279491e69b9%252Fiphonelogo.png%26size%3D50&w=1200&q=75)
The Javier
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](/_next/image?url=https%3A%2F%2Fwww.gravatar.com%2Favatar.php%3Fgravatar_id%3D4af0062eab14f0765893e053dde7f0f3%26default%3Dhttps%253A%252F%252Fucarecdn.com%252F0b5addcb-6e7e-48f1-9e88-2279491e69b9%252Fiphonelogo.png%26size%3D50&w=1200&q=75)
In the Know
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Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance
November 18, 2022 at 2:56 AM
MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger
Hamburger Law Firm
Legal Services for RIAs
Top Executive: Brian Hamburger