Year: 2008

On Friday, the D.C. Circuit rejected claims by an investment advisor that an SEC order permanently barring him from future association with any investment advisor should be overturned. The order, entered in an administrative proceeding, was based on findings by …

DC Circuit Affirms Permanent Bar Against Investment Advisor Read More »

In securities litigation this week, there were two significant circuit court cases. The SEC filed two new enforcement actions, while receiving a largely adverse ruling in another. And, the Supreme Court agreed to hear an appeal in a criminal case …

This Week In Securities Litigation (November 21, 2008) Read More »