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

 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

 16-529 Kokesh v. SEC (06/05/17)
of these principles here readily demonstratesthat SEC disgorgement constitutes a penalty within the meaning of §2462. First, SEC disgorgement is imposed by the courts as a

 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

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

 01-147, SEC v. Zandford (03/18/02)
And I take it that if the NASD tellsthe SEC of the existence of a fraud, the SEC can thenrequest the United States Government to prosecute

 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