Tag: SARS

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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See something, say something, is a popular slogan encouraging people to act if they observe something inappropriate. For regulated entities it is more than a popular notion. Those entities have a duty to “say something” if they “see something.” They …

Interactive Brokers Fined Over $38 Million for AML Violations Read More »

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