The D.C. Circuit reversed a Commission ruling upholding an order requiring a broker to pay restitution in a “trading away” case. The court concluded that “the SEC decision borders on whimsical or rests on notions of strict liability.” The case …

SEC’S ORDER REQUIRING RESTITUTION REJECTED AS “NONSENSE” Read More »

When litigating in court it is always critical to focus on the basics, taking the time and making the effort to proceed step-by-step. This is true whether the case is very simple or extremely complex. The SEC was recently reminded …

TRIALS ARE ABOUT THE BASICS Read More »