SEC ALJ Denies Disqualification of Wedbush Lawyer

Big problems often arise from small problems — it's the mushroom effect. How often have you found yourself in a mess that you never quite saw coming? When you trace your steps back to see where it all went wrong, you often come to rest at some mundane, innocuous moment. In an ongoing SEC administrative proceeding, Ground Zero appears to have been nothing more than a lawyer representing a brokerage firm and its employee during a customer arbitration. As it developed, the employee had engaged in some misconduct, which gave rise to allegations that the firm had failed to supervise her, which gave rise to the SEC initiating administrative proceedings against the firm. As that supervisory case makes its way through the SEC, lo and behold, the federal regulator seeks to disqualify the lawyer w…

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