{"id":3791,"date":"2016-09-26T18:50:17","date_gmt":"2016-09-26T23:50:17","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/?p=3791"},"modified":"2022-03-11T13:39:53","modified_gmt":"2022-03-11T19:39:53","slug":"ex-investment-adviser-talk-show-host-takes-industry-ban-appeals-court","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/ex-investment-adviser-talk-show-host-takes-industry-ban-appeals-court\/","title":{"rendered":"Ex-Investment Adviser and Talk Show Host Once Again Takes Industry Ban Against Him to the Appeals Court"},"content":{"rendered":"<p>\t\t\t\tThree years after the U.S. Securities and Exchange Commission barred Ray Lucia Sr. from the securities industry, the ex-investment adviser and radio talk show host is still seeking to overturn that decision. Last week, he filed a petition asking the\u00a0U.S. Court of Appeals for the D.C. Circuit to hear his case again.<\/p>\n<p>It was just last August that the appeals court heard his petition but refused to review and vacate the SEC ruling. His latest petition was submitted en banc, which could allow all 11 members of the appeals court to refuse to hear the case or decide to do so and issue a vote.<\/p>\n<p>Lucia, who once touted a \u201cbuckets of money\u201d investment strategy for retirement was barred after an SEC administrative law judge found that the ex-investment adviser misled investors about the strategy\u2019s approach to growing retirement assets. According to the regulator, the inflation rates Lucia employed to \u201cback-test\u201d his strategy failed to factor in the historical inflation rates during the time periods that were supposedly relevant.<\/p>\n<p> <a href=\"https:\/\/www.investorlawyers.com\/blog\/ex-investment-adviser-talk-show-host-takes-industry-ban-appeals-court\/#more-3791\" class=\"more-link\">Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Three years after the U.S. Securities and Exchange Commission barred Ray Lucia Sr. from the securities industry, the ex-investment adviser and radio talk show host is still seeking to overturn that decision. Last week, he filed a petition asking the\u00a0U.S. Court of Appeals for the D.C. Circuit to hear his case again. It was just [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3781,3801,3760],"tags":[],"class_list":["post-3791","post","type-post","status-publish","format-standard","hentry","category-investment-advisers","category-sec","category-sec-enforcement"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Ex-Investment Adviser and Talk Show Host Once Again Takes Industry Ban Against Him to the Appeals Court &#8212; Investor Lawyers Blog &#8212; September 26, 2016<\/title>\n<meta name=\"description\" content=\"Three years after the U.S. Securities and Exchange Commission barred Ray Lucia Sr. from the securities industry, the ex-investment adviser and radio talk &#8212; September 26, 2016\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/ex-investment-adviser-talk-show-host-takes-industry-ban-appeals-court\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Ex-Investment Adviser and Talk Show Host Once Again Takes Industry Ban Against Him to the Appeals Court &#8212; 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