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Appeals › Seventh Amendment › Securities and Exchange Commission (SEC)

Kohrman Jackson & Krantz LLP

Industry Pushback Against FINRA: A Growing Challenge to Its Authority

Kohrman Jackson & Krantz LLP on

Over the last few years, broker dealers and financial advisors have filed a flurry of legal actions seeking both: (1) to strip the Financial Industry Regulatory Authority (FINRA) of its power to adjudicate customer and...more

Herbert Smith Freehills Kramer

Supreme Court Grants Certiorari to Determine Constitutionality of SEC Administrative Law Process

Herbert Smith Freehills Kramer on

On June 30, 2023, the Supreme Court granted certiorari in Securities and Exchange Commission v. Jarkesy to review a decision by the Fifth Circuit rejecting key aspects of the Securities and Exchange Commission’s (SEC or the...more

Carlton Fields

Hill v. SEC: Eleventh Circuit Buries District Court Challenges to the Constitutionality of SEC Enforcement Actions

Carlton Fields on

Last week, the United States Court of Appeals for the Eleventh Circuit held that a district court cannot hear constitutional challenges to an ongoing administration enforcement action of the U.S. Securities and Exchange...more

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