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Posted on by T. Gorman Posted in SECActions

Raymond J. Lucia, owner of a Commission registered investment adviser, concluded an administrative proceeding that charged him with various violations of the Advisers Act in September 2012. In the Matter of Raymond J. Lucia Companies, Inc., Adm. Proc. File No. …

What Would Have Happened? The Long Trek of Raymond Lucia Read More »

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Posted on by T. Gorman Posted in SECActions

The fate of SEC Administrative Law Judges (“ALJ”) – and perhaps those at other federal agencies – hung in the balance as oral argument was held before the Supreme Court on Monday, April 23, 2018. The question being considered is …

The Supreme Court Considers The Fate of SEC ALJs Read More »

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