Year: 2020

The Fifth Circuit Court of Appeals rejected another challenge to the constitutionality of the Commission’s ALJs. The claim turned on whether those judges are unconstitutionally protected from removal. In a 2-1 decision the Court adopted the position of DOJ, representing …

This Week In Securities Litigation (Week of August 17, 2020) Read More »

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The valuation of holdings and assets is a key issue for investment advisers and funds. Incorrectly valuing assets, for example, can over or understate the value of the fund and the fees charged clients. It can mislead shareholders regarding the …

Adviser Charged With Fraud Tied to Valuations Read More »

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