‘Enforcement 40’ for 2020
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By Securities Docket on January 15, 2018, 10:10 am
In prior posts (most recently here), I have noted the U.S. Supreme Court’s recent predilection for taking up cases arising under the securities laws or otherwise involving securities lawsuits. On January 12, 2018, the Court reinforced this impression again by agreeing to take up yet another case arising under the securities laws. In this latest […]
By Securities Docket on January 15, 2018, 9:52 am
The high court, in a brief written order, said it would hear an appeal by a former investment adviser and media personality, Raymond Lucia, who is fighting an SEC judge’s 2013 decision to bar him from the industry. The SEC alleged that Mr. Lucia hyped how much research and backtesting he put into his “Buckets […]