The lawyer for Wing Chau took some tough questions and fought recent case law Friday as he argued that the Securities and Exchange Commission improperly chose to pursue his client in an administrative proceeding rather than federal court.
Brown Rudnick partner Alex Lipman told the U.S. Court of Appeals for the Second Circuit that Chau was hauled before an SEC administrative law judge in an investigation driven by the “personal malice” of an aggrieved former portfolio manager who worked as an investigator for the SEC.
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