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Injunctions Securities and Exchange Commission (SEC) Administrative Law Judge (ALJ)

Carlton Fields

Against All Odds Alpine Wins Important Injunction Against FINRA

Carlton Fields on

On July 5, 2023, the D.C. Circuit Court of Appeals issued an injunction that raises a challenge to FINRA’s authority to use FINRA-appointed hearing officers to conduct enforcement proceedings. The injunction enables Alpine...more

Dechert LLP

U.S. Chamber of Commerce Joins Chorus Pushing For Overhaul in SEC Enforcement Practices

Dechert LLP on

A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success –...more

Mintz - Securities & Capital Markets...

Federal Court Rules That SEC Administrative Proceeding Is “Likely Unconstitutional”

As we discussed in a post last November, the SEC’s increasing use of enforcement proceedings before its own administrative law judges (ALJs), rather than before federal court judges, has spawned a number of constitutional...more

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