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Supreme Court Upholds Constitutional Right to Jury Trial Where SEC Administrative Proceedings Seek to Impose Monetary Penalties

In a potentially landmark decision with implications at both the federal and state level, on June 27, 2024 the United States Supreme Court held in SEC v. Jarkesy that the Seventh Amendment’s preservation of the right to trial...more

A New Robinhood Challenges the Establishment but this Time the Establishment Wins

We all remember the legend of Robin Hood, who with his band of Merrie Men (plus Maid Marian of course) materialized from the depths of medieval Sherwood Forest to torment the corrupt Prince John and the cruel Sheriff of...more

New Law Exempts M&A Firms From SEC Broker/Dealer Registration

Merger and acquisition firms—often referred to as M&A brokers—are investment bankers who function as intermediaries to facilitate the sale of private businesses by locating sellers for companies looking for acquisitions, or...more

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