Tag: administrative proceedings

The trend of selecting administrative proceedings rather than Federal court by the SEC appears to be continuing. Since last September, for example, the SEC has filed at least seven insider trading cases as administrative proceeds. Previously, the agency typically brought …

SEC Files Prime Bank Fraud and Offering Fraud Actions as Administrative Proceedings Read More »

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The SEC was granted authority in the Dodd-Frank Act to initiate administrative proceedings against non-regulated persons. In those proceedings the full range of remedies are available – a cease-and-desist order, disgorgement, penalties and bar orders. Those remedies are comparable to …

SEC Use of Administrative Proceedings Challenged Again Read More »

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