Tag: Fifth Amendment

The Commission prevailed in four court actions. In the district court the agency won a summary judgment motion against an investment adviser. In the Eleventh Circuit Court the SEC secured a pair of victories. In one it obtained the reversal …

THIS WEEK IN SECURITIES LITIGATION (Week ending May 4, 2012) Read More »

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The Tenth Circuit Court of Appeals sustained the refusal of the district court to permit a defendant faced with a summary judgment motion in a Commission enforcement action to withdraw his invocation of the Fifth Amendment privilege not to testify. …

WITHDRAWING THE FIFTH AMENDMENT IN AN SEC ACTION Read More »

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