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Administrative Law Judge (ALJ) › Willful Misconduct

A&O Shearman

D.C. Circuit Clarifies "Willfulness" Requirement For Investment Advisers Act Violations, In Decision With Possible Ramifications...

A&O Shearman on

On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit vacated an aggregate $150,000 in fines that the U.S. Securities and Exchange Commission (“SEC”) had levied against an investment...more

Snell & Wilmer

Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time

Snell & Wilmer on

In a triumph of reason over complexity, the D.C. Circuit has held that an investment adviser cannot negligently commit an intentional act. In so holding, the second highest court in the land has (once again) overturned a...more

Franczek P.C.

NLRB Administrative Law Judge Rules that Employer Unlawfully Discharged Employee Who Warned Co-Worker of Looming Discharge

Franczek P.C. on

Recently, an Administrative Law Judge (ALJ) with the National Labor Relations Board found that an employer violated the National Labor Relations Act (NLRA) when it discharged an employee for informing a co-worker that the...more

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