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janice shell

01/16/20 6:02 PM

#165241 RE: alexjames81 #165238

That's nice. But SEC Enforcement is objecting to the ALJ's decision in the matter of the revocation of DBMM's registration, and has appealed to the Commission. It's important to keep an eye on that.

There're no new documents in the case since Enforcement filed its petition for review on 3 December:

https://www.sec.gov/litigation/apdocuments/ap-3-17990.xml