News & Analysis as of

Preliminary Injunctions › Constitutional Challenges › Securities and Exchange Commission (SEC)

Carlton Fields

Some Constitutional Clarity for SEC Administrative Law Courts but Uncertainty Remains

Carlton Fields on

In a 26-page decision, the U.S. District Court for the District of Columbia rejected an effort by a hedge fund manager to derail an ongoing SEC in-house “follow-on” enforcement proceeding. ...more

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

Allen Matkins

Issuer Retreats From Racial Share Allocation Scheme

Allen Matkins on

In February, I wrote about a proposed offering that involved a racially based share allocation scheme. Last month, it appeared that the offering was stalled at the Securities and Exchange Commission. Recently, the company,...more

Shumaker, Loop & Kendrick, LLP

Client Alert: FINRA’s Enforcement Arm Under Fire

Shumaker, Loop & Kendrick, LLP on

Recent case developments in Alpine Sec. Corp. v. FINRA before the D.C. Circuit cast further uncertainty on the future of the Financial Industry Regulatory Authority (FINRA)’s enforcement arm....more

Proskauer - Regulatory & Compliance

The Corporate Transparency Act: The Government Appeals Preliminary Injunction. What To Do Now?

Proskauer - Regulatory & Compliance on

The Corporate Transparency Act (CTA) requires all corporations, limited liability companies, limited partnerships, and many other entities created or registered to do business in any U.S. state to file a beneficial ownership...more

Constangy, Brooks, Smith & Prophete, LLP

Court halts OFCCP enforcement proceedings against contractor

Constangy, Brooks, Smith & Prophete, LLP on

The future of DOL’s administrative law judges is now murky. When the Office of Federal Contract Compliance Program believes that a contractor has violated affirmative action obligations, its tried-and-true practice for...more

Proskauer - Labor Relations Update

Amazon, SpaceX Must Navigate Procedural Roadblocks in Constitutional Challenge of NLRB

Proskauer - Labor Relations Update on

On November 18, 2024, the U.S. Court of Appeals for the Fifth Circuit heard oral argument on cases involving Amazon.com Inc. and SpaceX, respectively, challenging the constitutionality of the National Labor Relations Board...more

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