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October 10, 2023
A federal judge last week denied a broker's effort to stop Finra from disciplining him.
December 15, 2022
<p><span>Today, the Commission will consider a proposal to establish a Commission rule setting forth a best execution standard and accompanying framework for broker-dealers. I am pleased to support this proposal because, if adopted, it would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best execution when trading securities, whether equities, fixed income, options, crypto security tokens, or other securities...
June 6, 2022
A federal judge in Kentucky on June 3 dismissed a lawsuit alleging the Horseracing Integrity and Safety Act was unconstitutional.
June 6, 2022
A federal judge in Kentucky on June 3 dismissed a lawsuit alleging the Horseracing Integrity and Safety Act was unconstitutional.