Fighting The SEC On Its Home Turf

Law360, New York (October 28, 2016, 11:42 AM EDT) -- Breon Peace

Lisa Vicens In recent years, when pursuing corporations and their officers for violations of the securities laws, the U.S. Securities and Exchange Commission Division of Enforcement has increasingly brought its claims to the SEC's in-house administrative law judges (ALJs) rather than the federal civil courts. In fact, last year, over 90 percent of the SEC's actions against public companies were brought to the SEC's ALJs — whereas five years ago, only 33 percent of those cases were brought as ALJ proceedings. The credit for this remarkable increase in ALJ proceedings belongs in large part to the 2010 Dodd-Frank Act,[1]...

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