Month: August 2016

While the Commission’s venue selection determinations have been repeatedly challenged, each of the decisions in favor of the agency at the circuit court level has failed to reach the merits of the Constitutional claim. Rather, the actions have been dismissed …

D.C. Circuit Rejects Challenge to Appointment of SEC ALJs Read More »

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The Commission brought another in a series of civil and criminal actions centered on charging excessive, undisclosed fees to clients transitioning their portfolios. SEC v. Place, Civil Action No. 2:16-c-4291 (E.D.Pa. Filed Aug. 8, 2016) is an action which names …

SEC Files Another Excessive Fee Case Read More »

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