The Supreme Court decision in Lucia v. SEC that the in-house SEC administrative law judges (“ALJ”) were not properly appointed and put in office has resulted in the Securities and … Continue reading ALJ Decision Results in SEC Retrying Enforcement Actions
sec eThe Office of Investor Education and Advocacy (OIEA) and the Broker-Dealer Task Force of the Securities and Exchange Commission (SEC) jointly issued an Investor Alert to help investors identify … Continue reading SEC Issues Alert on Excessive Trading
The Securities and Exchange Commission (SEC) is including enforcement of the Whistleblower provisions enabled by Frank Dodd in its exam program, and as such is directly impacting broker/dealers and investment … Continue reading SEC Whistleblower Program Impacts Exam Program
In the enforcement results summary recently issued by the Securities and Exchange Commission (“SEC”), it was noted that in fiscal year 2016, the SEC filed 868 enforcement actions against financial … Continue reading SEC Enforcement Actions Against Investment Advisers Increasing