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Enforcement Actions › Preliminary Injunctions › Administrative Proceedings

Shumaker, Loop & Kendrick, LLP

Client Alert: FINRA Issues Administrative Order and Decision Regarding Alpine Sanctions

Shumaker, Loop & Kendrick, LLP on

On March 25, 2025, the Financial Industry Regulatory Authority (FINRA) issued a 100-page Administrative Order and Decision confirming and modifying its sanctions of Alpine Securities Corporation, which include expulsion from...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Epstein Becker & Green

What to Expect When the FTC Loses a Request for a Preliminary Injunction

Epstein Becker & Green on

The Federal Trade Commission (“FTC”) may challenge conduct when it has “reason to believe” that a violation of the laws that the FTC enforces has occurred. The agency does so by filing an administrative complaint, which is...more

Burr & Forman

Battle Over SEC’s Admin Forum Moves to 11th Circuit

Burr & Forman on

The battle over the constitutionality of the SEC’s administrative forum now moves to the U.S. Eleventh Circuit. The appellate court issued an order Wednesday, denying the SEC’s bid to upset the trial court’s preliminary...more

Carlton Fields

SEC Administrative Law Judge Appointments Held Likely Unconstitutional

Carlton Fields on

Defendants in SEC administrative enforcement proceedings have increasingly been going to federal court to challenge the SEC’s stepped-up use of its "in-house" tribunal. While the early results were not promising, more recent...more

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