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FINRA In-House Disciplinary Proceedings Survive Post-Jarkesy Challenge … For Now

On September 4, 2024, the United States District Court for the Eastern District of Pennsylvania denied D. Allen Blankenship’s challenge to enjoin the Financial Industry Regulatory Authority’s (FINRA) disciplinary action...more

SEC’s Focus on Whistleblower Protection Practices Continues

On September 9, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges against seven public companies for alleged violations of Securities Exchange Act Rule 21F-17. According to the SEC,...more

The Fifth Circuit Strikes a Blow to the Constitutionality of SEC Administrative Proceedings

On Wednesday, in a 2-1 decision, a three-judge panel of the U.S. Court of Appeals for the Fifth Circuit ruled in Jarkesy v. SEC that proceedings before an SEC administrative law judge were unconstitutional. Notably, the...more

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