Year: 2017

Three traders from Nomura Securities International, Inc. went on trial in early May 2017 for overcharging client in trades involving residential mortgage backed securities or RMBS. The U.S. Attorney’s Office for the District of Connecticut claims the traders lied when …

SEC Charges Nomura Trades With Fraud Read More »

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Introduction This is the second of two articles reviewing the arguments of the parties in SEC v Raymond J. Lucia Companies, Inc., v. Securities and Exchange Commission, No. 15-1345 (D.C. Cir. Argument May 24, 2017). In that case the en …

SEC Enforcement, ALJs and the Appointments Clause – Part II Read More »

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