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Carlton Fields

SEC Enforcement Defendants Descend on Georgia for Judicial Relief from the SEC’s Allegedly Unconstitutional In-House Tribunal

Carlton Fields on

It is often hot in Georgia this time of year. In one particular Georgia federal court, the U.S. Securities and Exchange Commission (SEC) has been feeling some of that heat on an issue of significant interest to subjects of...more

Mintz - Securities & Capital Markets...

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

Mintz - Securities & Capital Markets... on

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

Dorsey & Whitney LLP

SEC Insider Trading Case Brought As Administrative Proceeding Enjoined

Dorsey & Whitney LLP on

The SEC’s shift to administrative proceedings in recent months has spawned a series of suits against the agency challenging its forum selection authority. The suits have generally met with little success. Nevertheless,...more

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