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Preliminary Injunctions › Securities Regulation

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

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