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SEC's memoranda blunders further deflate administrative law judge system - Vimarsana News

SEC's memoranda blunders further deflate administrative law judge system

Published: June 7, 2023

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Source: financial-planning.com
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Georgia financial advisor's lawsuit questions the authority of the SEC's in-house judges - Vimarsana News

Georgia financial advisor's lawsuit questions the authority of the SEC's in-house judges

Published: April 29, 2023

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Source: financial-planning.com
Related Topics:
United StatesPeggy LittleDeborah MeshulamHall BarrettMorrison FoersterChristopher GibsonMichelle CochranDavid HudsonHaima MarlierGeier International Strategies FundCivil Liberties AllianceGeier GroupCircuit CourtGeier International StrategiesSupreme CourtWall StreetGeier InternationalNew Civil Liberties AllianceWall Street JournalDodd Frank ActFifth Circuit CourtTanzanian Royalty ExplorationRegulation And ComplianceRegulatory ReformSecurities Fraud