Tag: pay-to-play

The Commission prevailed following a bench trial in a case that was part of a series of pay-to-play actions involving pension funds. The action centered around bribes paid to an employee of a New York pension fund to secure business. …

Commission Prevails in Pay-To-Play Case at Trial Read More »

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The President issued an Executive Order this week, exempting SEC ALJs from the competitive civil service. The order, based in part on the ruling in Lucia which held that SEC ALJs must be appointed in accord with the Constitution’s Appointments …

This Week In Securities Litigation (Week ending July 13, 2018) Read More »

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