Beware of Double Jeopardy in SEC Proceedings: SEC Roundup | ThinkAdvisor

Securities professionals beware.

Following the conclusion of federal court litigation, the SEC may prosecute you a second time for the same conduct in a follow-on administrative proceeding seeking to bar you from your chosen profession.

Hear from former SEC enforcement attorney and Assistant U.S. Attorney Keri Axel as she describes the problematic nature of these follow-on APs at a time when the constitutionality of SEC administrative proceedings is before the U.S. Supreme Court.

Source: Beware of Double Jeopardy in SEC Proceedings: SEC Roundup | ThinkAdvisor