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NASAA files brief in Richard W. Mack v. Utah Department of Commerce, Division of Securities, arguing (1) Mack’s request for injunctive relief should be dismissed for failure to exhaust his administrative remedies as required by the Administrative Procedures Act; and (2) res judicata does not preclude Utah from pursuing an administrative enforcement action against Mack’s license for his participation in a “ponzi” scheme and defrauding investors.

Home > Policy > Legal Briefs > NASAA files brief in Richard W. Mack v. Utah Department of Commerce, Division of Securities, arguing (1) Mack’s request for injunctive relief should be dismissed for failure to exhaust his administrative remedies as required by the Administrative Procedures Act; and (2) res judicata does not preclude Utah from pursuing an administrative enforcement action against Mack’s license for his participation in a “ponzi” scheme and defrauding investors.

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NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
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Washington, DC 20002
202-737-0900
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
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