The Enforcement Directors of the SEC and CFTC took the unusual step of issuing a joint statement regarding virtual currency enforcement actions at the close of last week. SEC Enforcement Co-Directors Stephanie Avakian and Steven Peikin and CFTC Enforcement Director …
Year: 2018
This Week In Securities Litigation (Week ending Jan. 19, 2017)
The Supreme Court agreed to hear the appeal from the D.C. Circuit of Raymond J. Lucia Companies on the question of whether the Constitution’s Appointments Clause applied to SEC ALJs. While the Court will presumably resolve the split in the …
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Tagged with: anti-corruption, DOJ, failure to close out, FCPA, SEC, undisclosed principal transactions