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The justices ruled in a 6-3 vote that people accused of fraud by the SEC, which regulates securities markets, have the right to a jury trial in federal court. The in-house proceedings the SEC has ...
The Supreme Court on Thursday limited the power of the Securities and Exchange Commission to enforce security fraud violations, siding with a hedge fund manager and former conservative radio show ...
Key Supreme Court justices expressed deep reservations Wednesday with how the Securities and Exchange Commission brings some enforcement actions for securities fraud, suggesting the court could be ...
The SEC had already changed its process of hiring ALJs prior to the Supreme Court decision by requiring appointments to be approved by a vote of the Commission. [11] In its brief to the Supreme Court, the government also held the stance that as ALJs should be appointed and able to be dismissed at the discretion of the President or other ...
The Securities and Exchange Commission (SEC) filed criminal charges against Kapa-Community Ministry International and its executives, citing an investment scam. [7] [8] President Rodrigo Duterte was the first government official to announce the legal actions, doing so on June 8, 2019, when he ordered the National Bureau of Investigation (NBI) to shut down Kapa.
Rulemaking at the U.S. Securities and Exchange Commission, which hit a record pace early in President Joe Biden's administration, has slowed significantly as the agency navigates a hostile new ...
Securities and Exchange Commission, 591 U.S. 71 (2020), is a US Supreme Court case related to disgorgement awards sought by the Securities and Exchange Commission (SEC) for fraudulent activities. The Court ruled in an 8–1 decision that such disgorgement awards can be awarded by the courts as equitable relief under the Securities Act of 1933 ...
The Supreme Court in prior rulings has limited the authority of the Securities and Exchange Commission, the federal agency that polices securities fraud. (Reporting by John Kruzel; Editing by Will ...