Category: SECActions

This Week In Securities Litigation (Week ending June 22, 2018)

Decisions by the Supreme Court were key this week. The High Court concluded that SEC ALJs were appointed in violation of the Constitution. In reaching that conclusion the Court sidestepped a second constitutional question as well as the issue of

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SEC Enforcement – A Focus on Retail Investors

The current retail focus of Commission enforcement is well illustrated by two recent cases. One involved a microcap market manipulation. The other centered on a scheme by market professionals who took advantage of clients they acquired by directing their investments

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