News & Analysis as of

Administrative Law Judge (ALJ) Preliminary Injunctions Enforcement Actions

Orrick, Herrington & Sutcliffe LLP

Fifth Circuit holds district court lacks jurisdiction to provide relief from FDIC enforcement

On August 25, the U.S. Court of Appeals for the 5th Circuit reversed and remanded a district court’s decision that granted injunctive relief in an FDIC enforcement action against a bank executive. The FDIC initiated the...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Epstein Becker & Green

What to Expect When the FTC Loses a Request for a Preliminary Injunction

Epstein Becker & Green on

The Federal Trade Commission (“FTC”) may challenge conduct when it has “reason to believe” that a violation of the laws that the FTC enforces has occurred. The agency does so by filing an administrative complaint, which is...more

Carlton Fields

SEC Administrative Law Judge Appointments Held Likely Unconstitutional

Carlton Fields on

Defendants in SEC administrative enforcement proceedings have increasingly been going to federal court to challenge the SEC’s stepped-up use of its "in-house" tribunal. While the early results were not promising, more recent...more

Goodwin

Federal Court Deflates, For Now, SEC’s Efforts to Proceed Before Its In-house Courts

Goodwin on

A federal judge in Manhattan recently granted a preliminary injunction against the Securities and Exchange Commission in the latest of a series of rulings raising issues with the SEC’s use of in-house proceedings before its...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were...more

Stinson - Corporate & Securities Law Blog

Court Enters Preliminary Injunction Against SEC Administrative Proceeding

The United States District Court for the Northern District of Georgia, Atlanta Division, has entered a preliminary injunction preventing the SEC from conducting an administrative proceeding in an insider trading matter. The...more

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