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Searching Content indexed under Litigation, Mediation & Arbitration by Blake Osborn ordered by Published Date Descending.
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The SEC Critiques Itself – Could Changes To SEC Enforcement Investigations Be On The Way?
Last week, the SEC's Office of Inspector General ("OIG") released its semiannual report to Congress, which details the OIG's independent and objective audits, evaluations, investigations and other reviews...
United States
7 Jun 2016
2
Mark Cuban Challenges The Referee: The Constitutionality Of SEC In-House Courts
Lucia's appeal stems from the SEC's prosecution of Lucia in an administrative proceeding for misleading prospective clients about the company's retirement wealth management strategy.
United States
23 Feb 2016
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Judge Berman Deflates SEC's ALJ Appointment Process
On August 12, 2015, Judge Berman issued a preliminary injunction against the SEC preventing it from continuing its administrative proceeding against a former Standard & Poor's rating services ("S&P") executive, Barbara Duka.
United States
27 Aug 2015
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Are Confidential Witness Reforms Looming On The Horizon? Can The Plaintiff's Bar Stop Them?
A decision is expected shortly in the highly publicized so-called confidential witness "scandal" involving the Robbins Geller Rudman & Dowd law firm.
United States
27 Jan 2014
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