U.S. Court of Appeals for the Tenth Circuit
Malouf v. SEC. & Exch. Comm'n
This writing
- Type
- Opinion
- Filed
- Aug. 13, 2019
- Case
- Malouf v. SEC. & Exch. Comm'n
- Case status
- Decided
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Opening text
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BACHARACH, Circuit Judge. Mr. Dennis Malouf occupied key roles at two firms. One of the firms (UASNM, Inc.) offered investment advice; the other firm (a branch of Raymond James Financial Services) served as a broker-dealer. Raymond James viewed those dual roles as a conflict, so Mr. Malouf sold the Raymond James branch. But the structure of the sale perpetuated the conflict. Because Mr.…
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