‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC suspends some in-house court cases over hiring of judges | Reuters
In an order dated May 22, the SEC said it would suspend any cases in which a defendant will have an option to appeal a case before the Tenth Circuit Court of Appeals, which covers the states of Colorado, Kansas, New Mexico, Oklahoma, Utah and Wyoming. via SEC suspends some in-house court cases over hiring […]
SEC Files Charges in Trading Scheme Involving Confidential Government Information — SEC Press Release
The Securities and Exchange Commission today announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock prices of certain publicly traded medical providers or suppliers. via SEC Files Charges in Trading Scheme Involving Confidential Government Information — SEC Press Release
Case to Examine Legitimacy of SEC’s In-House Courts – WSJ
A federal appeals court on Wednesday will consider whether Wall Street’s top cop has vested too much power in its in-house courts, a system that regulators expanded several years ago as they sought to speed enforcement actions against firms and individuals accused of fraud and wrongdoing. The U.S. Court of Appeals for the District of […]
Appellate Lawyer Mark A. Perry to Argue SEC Forum Unconstitutional | Bloomberg BNA
Washington lawyer Mark A. Perry is hoping for a better outcome when he returns to the D.C. Circuit tomorrow to argue that the SEC’s administrative forum is inconsistent with the Appointments Clause. The Gibson Dunn & Crutcher LLP appellate litigator will argue the constitutional question on behalf of investment adviser Raymond J. Lucia for the […]