‘Enforcement 40’ for 2020
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By Securities Docket on December 15, 2015, 1:22 pm
Five years after the SEC brought charges that cost two fund executives their jobs, the U.S. First Circuit overturned the sanctions, chiding the SEC for misreading critical evidence, lacking substantial evidence for its findings and disregarding its own Chief ALJ’s opinion. The case illustrates the extraordinary burden respondents in SEC administrative actions must carry before […]