DC Circ. Ruling Could Mean FINRA Hearings Are On Thin Ice

By Andrew Ceresney, Stephan Schlegelmilch and Megan McGuiggan (July 25, 2023, 4:11 PM EDT) -- Five years ago, the U.S. Supreme Court issued its decision in Lucia v. U.S. Securities and Exchange Commission, which marked the first major success in a series of challenges to the SEC's and other federal agencies' use of the administrative forum for the litigation of enforcement actions.[1]...

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