Search Results:

 18-1501 Liu v. SEC (06/22/2020)
to avoid transforming that 2 LIU v. SEC Syllabus remedy into a punitive sanction, courts restricted question. The Government contends that the SEC’s interpretation has Congress’ tacit support. But

 22-859 SEC v. Jarkesy (06/27/2024)
finds facts and de-cides discovery disputes, and the SEC’s Rules of Practice govern. One remedy for defendant to a jury trial when the SEC seeks civil penalties for securities fraud—is straightforward

 17-130 Lucia v. SEC (06/21/2018)
Court of Appeals for theD. C. Circuit rejected Lucia’s argument, holding that SEC ALJs are 2 LUCIA v. SEC Syllabus not “Officers of the United States,” but are

 Media Advisory - 01/28/20 - Supreme Court of the United States
Chief Justice's Year-End Reports on the Federal Judiciary What Can I See and Do? Press seats will be reserved for the oral argument in 18-1460) Gee, Sec., LA Dept. of Health v. June Medical Serv.

 18-1501-2.pdf
efforts, the RSTF is working with the SEC’s Office of Investor Education and Advocacy on two new

 17-1077 Lorenzo v. SEC (03/27/2019)
director of investment banking at an SEC-registered brokerage firm, sent two e-mails to prospective the Rule, as well as §10(b) and 2 LORENZO v. SEC Syllabus §17(a)(1). Held: Dissemination of false or

 QPReport
securities fraud cases, as set forth in the SEC's amicus brief submitted at the request of the Second Circuit should have adopted the SEC's finding that subject matter jurisdiction exists here