During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail …
Tag: Lorenzo
The Future Course of SEC Enforcement
Tagged with: disgorgement, Emules, Kokesh, Lorenzo, Lucia, Primary liability, SEC, state of mind, venue
Lorenzo and Primary Liability: An SEC Win at the High Court?
The Supreme Court heard argument on the question frequently referred to in the circuit and district courts as scheme liability on Monday, December 3, 2018. Lorenzo v. SEC, No. 17-0077. Specifically, the question as framed by Petitioner Francis Lorenzo is …
Lorenzo and Primary Liability: An SEC Win at the High Court?
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