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Administrative Law Judge (ALJ) Stocks

Stinson - Corporate & Securities Law Blog

SEC Opinion Examines Reasonable Belief and Accredited Investor Status

The SEC opinion In the Matter of Joseph P. Doxey examines compliance with Rule 506 in an alleged unlawful offering of stock totaling $57,654. The administrative law judge on summary disposition determined that Mr. Doxey...more

Burr & Forman

SEC Removes Duka ALJ After Refusing No-Bias Affidavit in Timbervest

Burr & Forman on

The SEC’s administrative forum has been under increasing scrutiny over the past year. Now the SEC has removed an ALJ from a high-profile case, after he refused the Commission’s “invitation” to provide a no-bias affidavit in...more

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