Tag: Primary liability

During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail …

The Future Course of SEC Enforcement Read More »

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The Supreme Court heard argument on the question frequently referred to in the circuit and district courts as scheme liability on Monday, December 3, 2018. Lorenzo v. SEC, No. 17-0077. Specifically, the question as framed by Petitioner Francis Lorenzo is …

Lorenzo and Primary Liability: An SEC Win at the High Court?

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