Month: March 2018

DC Circuit Dismisses PCAOB Proceeding For Constitutional Error

The PCAOB excluded from a witness interview an expert accountant assisting counsel for the witness. The Board cited a rule which authorizes it to limit those in attendance at an interview. The DC Circuit granted a petition for review, remanded

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SEC Charges of Failure to Supervise by BD Heading For Hearing

Typically broker-dealers and other regulated entities resolve Commission investigations prior to the institution of any proceedings. A west coast broker-dealer alleged to be a recidivist, however, chose not to resolve failure to supervise claims by the agency that are alleged

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